SEC Form 4 · accession 0001209191-18-058608
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon Pedder
Officer — See Remarks
Period of report
Nov 14, 2018
Accepted (ET)
Nov 14, 2018 · 6:10 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 | 2,908 | $10.258 | A | 3,908 | 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 13, 2023 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (Right to Buy)F3 | $9.00 | holding | — | — | — | — | Feb 28, 2026 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (Right to Buy)F4 | $11.00 | holding | — | — | — | — | Jun 13, 2027 | Common Stock | 130,000 | 130,000 | D |
Explanation of responses
- F1This transaction was executed in multiple trades ranging from $10.250 to $10.259. 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 four equal annual installments beginning on May 13, 2014.
- F3The option vests in four equal annual installments beginning on February 28, 2017.
- F4The option vests in four equal annual installments beginning on June 13, 2018.