Accession Number: | 0001209191-21-051858 |
Date: | 2021-08-03 |
Issuer: | ATHENEX, INC. (ATNX) |
Original Submission Date: |
ADAMS STEVEN J.
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 |
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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 |
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STOCK OPTION (RIGHT TO BUY) | 3.8 | 2021-08-03 | deemed execution date | A | 12,500 (a) | 2031-08-03 | common stock 12,500 | $3.80 | 12,500 | direct | ||
RESTRICTED STOCK UNITS | 0.0 | 2021-08-03 | deemed execution date | A | 12,500 (a) | common stock 12,500 | $0.00 | 12,500 | direct | |||
STOCK OPTION (RIGHT TO BUY_ | 4.55 | deemed execution date | 0 ( ) | 2016-12-09 | 2023-12-09 | common stock 30,000 | $4.55 | 30,000 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 5.5 | deemed execution date | 0 ( ) | 2015-06-30 | 2024-12-16 | common stock 5,000 | $5.50 | 5,000 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 5.5 | deemed execution date | 0 ( ) | 2018-02-27 | 2025-02-27 | common stock 20,000 | $5.50 | 20,000 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 11.0 | deemed execution date | 0 ( ) | 2021-06-14 | 2027-06-14 | common stock 10,000 | $11.00 | 10,000 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 17.3 | deemed execution date | 0 ( ) | 2028-03-27 | common stock 2,000 | $17.30 | 2,000 | direct | ||||
STOCK OPTION (RIGHT TO BUY) | 10.26 | deemed execution date | 0 ( ) | 2030-08-27 | common stock 8,000 | $10.26 | 8,000 | direct |
ID | footnote |
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f1 | this option vests in four equal annual installments beginning on march 27, 2019. |
f2 | this option vests in four equal annual installments beginning on august 27, 2021. |
f3 | this option vests in four equal annual installments beginning on august 3, 2022. |
f4 | each restricted stock unit represents a contingent right to receive one share of stock. |
f5 | the restricted stock units vest in four equal annual installments beginning on august 3, 2022. |