SEC Form 4 · accession 0001209191-18-050061
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jinn Wu
Director
Period of report
Sep 6, 2018
Accepted (ET)
Sep 7, 2018 · 4:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001300699
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 6, 2018 | P | 2,500 | $16.088 | A | 266,708 | D |
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)F2 | $4.55 | holding | — | — | — | — | May 9, 2021 | Common Stock | 16,000 | 16,000 | D |
| Stock Option (Right to Buy)F3 | $4.55 | holding | — | — | — | — | Mar 26, 2022 | Common Stock | 16,000 | 16,000 | D |
| Stock Option (Right to Buy) | $4.55 | holding | — | — | — | Jan 2, 2013 | Jan 2, 2023 | Common Stock | 90,000 | 90,000 | D |
| Stock Option (Right to Buy) | $4.55 | holding | — | — | — | Feb 12, 2014 | Feb 12, 2024 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (Right to Buy) | $5.50 | holding | — | — | — | Feb 5, 2015 | Feb 5, 2025 | Common Stock | 54,000 | 54,000 | D |
| Stock Option (Right to Buy)F4 | $5.50 | holding | — | — | — | — | Mar 20, 2025 | Common Stock | 96,000 | 96,000 | D |
| Stock Option (Right to Buy)F5 | $11.00 | holding | — | — | — | — | Jun 13, 2027 | Common Stock | 28,500 | 28,500 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $16.084 to $16.089. 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 of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- F2The option vested in two equal annual installments beginning on May 9, 2012.
- F3The option vested in full on March 26, 2013.
- F4The option vested in full on March 20, 2017.
- F5The option vests in four equal annual installments beginning on June 13, 2018.