SEC Form 4/A · accession 0001209191-18-047826
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
James Zukin
Other
Period of report
Jun 13, 2017
Accepted (ET)
Aug 21, 2018 · 6:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001300699
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1,F2 | $11.00 | Jun 13, 2017 | A | 19,500 | A | — | Jun 13, 2027 | Common Stock | 19,500 | 19,500 | D |
Explanation of responses
- F1This option was previously reported by Mr. Zukin. This amendment is being filed to correct the transaction date, exercise date, and expiration date.
- F2This option vests in four equal annual installments beginning on June 13, 2018, subject to the terms of the Transition Agreement by and between Athenex, Inc. and Mr. Zukin dated April 27, 2018.
Remarks
Mr. Zukin resigned from the Board of Directors effective July 1, 2018.