SEC Form 4 · accession 0001209191-18-059159
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rudolf Kwan
Officer — EVP, Chief Medical Officer
Period of report
Nov 19, 2018
Accepted (ET)
Nov 19, 2018 · 4:09 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 19, 2018 | P | 1,000 | $11.697 | A | 98,224 | 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 | — | — | — | — | Dec 10, 2019 | Common Stock | 24,000 | 24,000 | D |
| Stock Option (Right to Buy)F3 | $4.55 | holding | — | — | — | — | May 9, 2021 | Common Stock | 48,000 | 48,000 | D |
| Stock Option (Right to Buy)F4 | $4.55 | holding | — | — | — | — | Jan 2, 2023 | Common Stock | 96,000 | 96,000 | D |
| Stock Option (Right to Buy)F5 | $4.55 | holding | — | — | — | — | May 13, 2023 | Common Stock | 48,000 | 48,000 | D |
| Stock Option (Right to Buy)F6 | $4.55 | holding | — | — | — | — | Feb 12, 2024 | Common Stock | 120,000 | 120,000 | D |
| Stock Option (Right to Buy)F7 | $4.55 | holding | — | — | — | — | Jun 12, 2024 | Common Stock | 48,000 | 48,000 | D |
| Stock Option (Right to Buy)F8 | $5.50 | holding | — | — | — | — | Dec 16, 2024 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (Right to Buy)F9 | $7.50 | holding | — | — | — | — | May 22, 2025 | Common Stock | 120,000 | 120,000 | D |
| Stock Option (Right to Buy)F10 | $11.00 | holding | — | — | — | — | Jun 13, 2027 | Common Stock | 140,000 | 140,000 | D |
Explanation of responses
- F1This transaction was executed in multiple trades ranging from $11.695 to $11.700. 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.
- F10The option vests in three equal annual installments beginning on June 13, 2018.
- F2The option vests in equal monthly installments beginning on January 10, 2010.
- F3The option vests in two equal annual installments beginning on May 9, 2012.
- F4The option vests in two equal annual installments beginning on January 2, 2014
- F5The option vests in four equal annual installments beginning on May 13, 2014.
- F6The option vests in three equal annual installments beginning on February 12, 2015.
- F7The option vests in two equal annual installments beginning on June 12, 2015.
- F8The option vests in four equal annual installments beginning on December 16, 2015.
- F9The option vests in four equal annual installments beginning on May 22, 2016.