SEC Form 4 · accession 0001209191-19-015849
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Wei Zuo
Officer — President, China Division
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 5:54 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 | holding | — | — | — | 1,117,777 | 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 | $13.17 | Feb 28, 2019 | A | 25,000 | A | — | Feb 28, 2029 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (Right to Buy)F1 | $7.50 | holding | — | — | — | — | Jun 11, 2025 | Common Stock | 120,000 | 120,000 | D |
| Stock Option (Right to Buy) | $11.00 | holding | — | — | — | Jun 13, 2018 | Jun 13, 2027 | Common Stock | 1 | 1 | D |
Explanation of responses
- F1The option vests in three equal installments beginning on June 11, 2016.
- F2The option vests in four equal annual installments beginning on February 28, 2020.