Accession Number: | 0001209191-21-050007 |
Date: | 2021-08-03 |
Issuer: | ATHENEX, INC. (ATNX) |
Original Submission Date: |
CAMPBELL KIM
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600
BUFFALO, NY 14203
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2021-08-03 | 0 | $0.00 | 10,000 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
STOCK OPTION (RIGHT TO BUY) | 3.8 | 2021-08-03 | deemed execution date | A | 7,500 (a) | 2022-08-03 | 2031-08-03 | common stock 7,500 | $3.80 | 7,500 | direct | |
RESTRICTED STOCK UNITS | 0.0 | 2021-08-03 | deemed execution date | A | 7,500 (a) | common stock 7,500 | $0.00 | 7,500 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 9.0 | deemed execution date | 0 ( ) | 2017-10-17 | 2025-10-17 | common stock 48,000 | $9.00 | 48,000 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 11.0 | deemed execution date | 0 ( ) | 2027-06-13 | common stock 30,000 | $11.00 | 30,000 | direct | ||||
STOCK OPTION (RIGHT TO BUY) | 17.3 | deemed execution date | 0 ( ) | 2028-03-27 | common stock 18,000 | $17.30 | 18,000 | direct | ||||
STOCK OPTION (RIGHT TO BUY) | 13.17 | deemed execution date | 0 ( ) | 2029-02-28 | common stock 15,000 | $13.17 | 15,000 | direct | ||||
STOCK OPTION (RIGHT TO BUY) | 12.45 | deemed execution date | 0 ( ) | 2030-06-05 | common stock 15,000 | $12.45 | 15,000 | direct |
ID | footnote |
---|---|
f1 | this option vests in four equal annual installments beginning on june 13, 2018. |
f2 | this option vests in four equal annual installments beginning on march 27, 2019. |
f3 | this option vests in four equal annual installments beginning on february 28, 2020. |
f4 | this option vests in four equal annual installments beginning on june 5, 2021. |
f5 | this option vests on august 3, 2022. |
f6 | each restricted stock unit represents a contingent right to receive one share of stock. |
f7 | the restricted stock units vest on august 3, 2022. |