SEC Form 4 · accession 0001209191-18-058575
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randoll Sze
Officer — Chief Financial Officer
Period of report
Nov 14, 2018
Accepted (ET)
Nov 14, 2018 · 5:20 pm EST
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 Stock | Nov 14, 2018 | P | 1,000 | $10.255 | A | 1,000 | 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)F1 | $17.09 | holding | — | — | — | — | Aug 20, 2028 | Common Stock | 90,000 | 90,000 | D |
| Stock Option (Right to Buy)F2 | $17.77 | holding | — | — | — | — | Oct 3, 2027 | Common Stock | 28,000 | 28,000 | D |
| Stock Option (Right to Buy)F3 | $17.30 | holding | — | — | — | — | Mar 27, 2028 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1The option vests in four equal annual installments beginning on August 20, 2019.
- F2The option vests in four equal annual installments beginning on October 3, 2018.
- F3The option vests in four equal annual installments beginning on March 27, 2019.