Filing Details
- Accession Number:
- 0001209191-19-053414
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-10-17 16:11:39
- Reporting Period:
- 2019-10-17
- Accepted Time:
- 2019-10-17 16:11:39
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1300699 | Athenex Inc. | ATNX | Pharmaceutical Preparations (2834) | 431985966 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1751011 | Randoll Sze | C/O Athenex, Inc. 1001 Main Street, Suite 600 Buffalo NY 14203 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-10-17 | 1,000 | $10.99 | 3,000 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $17.09 | 2028-08-20 | 90,000 | 90,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $17.77 | 2027-10-03 | 28,000 | 28,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $17.30 | 2028-03-27 | 10,000 | 10,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $13.17 | 2029-02-28 | 60,000 | 60,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2028-08-20 | 90,000 | 90,000 | Direct |
| 2027-10-03 | 28,000 | 28,000 | Direct |
| 2028-03-27 | 10,000 | 10,000 | Direct |
| 2029-02-28 | 60,000 | 60,000 | Direct |
Footnotes
- This transaction was executed in multiple trades ranging from $10.9862 to $10.99. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
- The option vests in four equal annual installments beginning on August 20, 2019.
- The option vests in four equal annual installments beginning on October 3, 2018.
- The option vests in four equal annual installments beginning on March 27, 2019.
- The option vests in four equal annual installments beginning on February 28, 2020.
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