SEC Form 4 · accession 0001209191-18-058578
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Yordon
Officer — See Remarks
Period of report
Nov 14, 2018
Accepted (ET)
Nov 14, 2018 · 5:25 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 StockF1 | Nov 14, 2018 | P | 9,500 | $10.49 | A | 198,209 | 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 | $9.00 | holding | — | — | — | — | Jun 19, 2026 | Common Stock | 150,000 | 150,000 | D |
| Stock Option (Right to Buy)F3 | $11.00 | holding | — | — | — | — | Jun 13, 2027 | Common Stock | 230,000 | 230,000 | D |
Explanation of responses
- F1This transaction was executed in multiple trades ranging from $10.367 to $10.625. 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 full information regarding the number of shares and prices at which the transactions were effected.
- F2The option vests in two equal annual installments beginning on June 19, 2017.
- F3The option vests in three equal annual installments beginning on June 13, 2018.
Remarks
COO, and President, Athenex Pharmaceutical Division.