Filing Details
- Accession Number:
- 0001209191-20-017676
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-10 16:30:10
- Reporting Period:
- 2020-03-09
- Accepted Time:
- 2020-03-10 16:30:10
- 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 |
|---|---|---|---|---|---|---|---|
| 1708965 | Rudolf Kwan | C/O Athenex, Inc., 1001 Main Street, Suite 600 Buffalo NY 14203 | Evp, Chief Medical 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 | 2020-03-09 | 2,000 | $9.79 | 135,048 | 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) | $4.55 | 2014-05-09 | 2021-05-09 | 48,000 | 48,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2016-01-02 | 2023-01-02 | 96,000 | 96,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2018-05-13 | 2023-05-13 | 48,000 | 48,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2018-02-12 | 2024-02-12 | 120,000 | 120,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2017-06-12 | 2024-06-12 | 48,000 | 48,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $5.50 | 2018-12-16 | 2024-12-16 | 200,000 | 200,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $7.50 | 2019-05-22 | 2025-05-22 | 120,000 | 120,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $11.00 | 2027-06-13 | 140,000 | 140,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $17.30 | 2018-03-27 | 120,000 | 120,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $13.17 | 2029-02-28 | 120,000 | 120,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-05-09 | 48,000 | 48,000 | Direct |
| 2023-01-02 | 96,000 | 96,000 | Direct |
| 2023-05-13 | 48,000 | 48,000 | Direct |
| 2024-02-12 | 120,000 | 120,000 | Direct |
| 2024-06-12 | 48,000 | 48,000 | Direct |
| 2024-12-16 | 200,000 | 200,000 | Direct |
| 2025-05-22 | 120,000 | 120,000 | Direct |
| 2027-06-13 | 140,000 | 140,000 | Direct |
| 2018-03-27 | 120,000 | 120,000 | Direct |
| 2029-02-28 | 120,000 | 120,000 | Direct |
Footnotes
- These shares were purchased in multiple transactions at prices ranging from $9.7850 to $9.7878, inclusive. 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 any security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
- Includes 942 shares acquired under the Athenex, Inc. 2017 Employee Stock Purchase Plan.
- The option vests in three equal annual installments beginning on June 13, 2018.
- This 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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