Filing Details
- Accession Number:
- 0001209191-20-018861
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-13 16:16:08
- Reporting Period:
- 2020-03-12
- Accepted Time:
- 2020-03-13 16:16:08
- 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 | 2020-03-12 | 2,000 | $8.19 | 137,048 | 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
- 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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