SEC Form 4 · accession 0001209191-19-016497
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon Pedder
Officer — See Remarks
Period of report
Mar 27, 2018
Accepted (ET)
Mar 5, 2019 · 4:27 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 | — | — | — | 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)F4 | $17.30 | Mar 27, 2018 | A | 60,000 | A | — | Mar 27, 2028 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (Right to Buy)F1 | $4.55 | holding | — | — | — | — | May 13, 2023 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (Right to Buy)F2 | $9.00 | holding | — | — | — | — | Feb 28, 2026 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (Right to Buy)F3 | $11.00 | holding | — | — | — | — | Jun 13, 2027 | Common Stock | 130,000 | 130,000 | D |
| Stock Option (Right to Buy)F5 | $13.17 | holding | — | — | — | — | Feb 28, 2029 | Common Stock | 60,000 | 60,000 | D |
Explanation of responses
- F1The option vests in four equal annual installments beginning on May 13, 2014.
- F2The option vests in four equal annual installments beginning on February 28, 2017.
- F3The option vests in four equal annual installments beginning on June 13, 2018.
- F4This option vests in four equal annual installments beginning on March 27, 2019.
- F5The option vests in four equal annual installments beginning on February 28, 2020.