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ATHENEX, INC. Forms 3, 4 and 5: Stock Options

ATHENEX, INC. Forms 3, 4 and 5: Stock Options

Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 330 rows in 2023. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.

  • 2023-05-08: Reporting owner LAU JOHNSON YIU NAM; Form 4; Security Stock Option (Right to Buy); Transaction Holding.
  • 2023-05-08: Reporting owner LAU JOHNSON YIU NAM; Form 4; Security Stock Option (Right to Buy); Transaction Holding.
  • 2023-05-08: Reporting owner LAU JOHNSON YIU NAM; Form 4; Security Stock Option (Right to Buy); Transaction Holding.
  • 2023-05-08: Reporting owner LAU JOHNSON YIU NAM; Form 4; Security Stock Option (Right to Buy); Transaction Holding.
Transaction dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
2023-05-08
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
70,000 owned after
$150.00
exercise price
2023-05-08
2023-05-08
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
1 owned after
$220.00
exercise price
2023-05-08
2023-05-08
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Indirect · (m)
Holding
2,746 owned after
$180.00
exercise price
2023-05-08
2023-05-08
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
12,500 owned after
$346.00
exercise price
2023-05-08
2023-05-08
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
12,500 owned after
$263.40
exercise price
2023-05-08
2023-05-08
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
2,753 owned after
$146.40
exercise price
2023-05-08
2023-05-08
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
15,000 owned after
$249.00
exercise price
2023-05-08
2023-05-08
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
7,500 owned after
$76.00
exercise price
2023-05-08
2023-05-08
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
12,500 owned after
$13.31
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
2,400 owned after
$91.00
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$91.00
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
2,400 owned after
$91.00
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
10,000 owned after
$110.00
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$150.00
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
7,000 owned after
$220.00
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$346.00
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$263.40
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
7,000 owned after
$249.00
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
3,500 owned after
$76.00
exercise price
2023-05-08
2023-05-08
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
3,750 owned after
$13.31
exercise price
2023-05-08
2023-05-08
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
3,500 owned after
$345.80
exercise price
2023-05-08
2023-05-08
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
1,500 owned after
$205.20
exercise price
2023-05-08
2023-05-08
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
450 owned after
$71.20
exercise price
2023-05-08
2023-05-08
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
3,750 owned after
$13.31
exercise price
2023-05-08
2023-04-24
holding as of filing
WU JINN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
500 owned after
$91.00
exercise price
2023-04-24
2023-04-24
holding as of filing
WU JINN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
2,700 owned after
$110.00
exercise price
2023-04-24
2023-04-24
holding as of filing
WU JINN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
4,800 owned after
$110.00
exercise price
2023-04-24
2023-04-24
holding as of filing
WU JINN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
1,425 owned after
$220.00
exercise price
2023-04-24
2023-04-24
holding as of filing
WU JINN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
825 owned after
$346.00
exercise price
2023-04-24
2023-04-24
holding as of filing
WU JINN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
750 owned after
$263.40
exercise price
2023-04-24
2023-04-24
holding as of filing
WU JINN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
625 owned after
$249.00
exercise price
2023-04-24
2023-04-24
holding as of filing
WU JINN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
375 owned after
$76.00
exercise price
2023-04-24
2023-04-24
holding as of filing
WU JINN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
750 owned after
$9.14
exercise price
2023-04-24
2023-04-24
holding as of filing
VIERLING JOHN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
500 owned after
$241.20
exercise price
2023-04-24
2023-04-24
holding as of filing
VIERLING JOHN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
125 owned after
$229.80
exercise price
2023-04-24
2023-04-24
holding as of filing
VIERLING JOHN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
625 owned after
$249.00
exercise price
2023-04-24
2023-04-24
holding as of filing
VIERLING JOHN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
375 owned after
$76.00
exercise price
2023-04-24
2023-04-24
holding as of filing
VIERLING JOHN
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
875 owned after
$9.14
exercise price
2023-04-24
2023-04-24
holding as of filing
TSANG Benson Kwan Hung
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
488 owned after
$390.20
exercise price
2023-04-24
2023-04-24
holding as of filing
TSANG Benson Kwan Hung
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
875 owned after
$263.40
exercise price
2023-04-24
2023-04-24
holding as of filing
TSANG Benson Kwan Hung
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
1,000 owned after
$249.00
exercise price
2023-04-24
2023-04-24
holding as of filing
TSANG Benson Kwan Hung
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
500 owned after
$76.00
exercise price
2023-04-24
2023-04-24
holding as of filing
TSANG Benson Kwan Hung
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
1,000 owned after
$9.14
exercise price
2023-04-24
2023-04-24
holding as of filing
Spiegel Robert J.
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
365 owned after
$228.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Spiegel Robert J.
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
438 owned after
$76.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Spiegel Robert J.
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
875 owned after
$9.14
exercise price
2023-04-24
2023-04-24
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
70,000 owned after
$150.00
exercise price
2023-04-24
2023-04-24
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
1 owned after
$220.00
exercise price
2023-04-24
2023-04-24
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Indirect · (m)
Holding
2,746 owned after
$180.00
exercise price
2023-04-24
2023-04-24
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
12,500 owned after
$346.00
exercise price
2023-04-24
2023-04-24
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
12,500 owned after
$263.40
exercise price
2023-04-24
2023-04-24
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
2,753 owned after
$146.40
exercise price
2023-04-24
2023-04-24
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
15,000 owned after
$249.00
exercise price
2023-04-24
2023-04-24
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
7,500 owned after
$76.00
exercise price
2023-04-24
2023-04-24
holding as of filing
LAU JOHNSON YIU NAM
Director, Officer (CEO and Chairman of the Board)
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
12,500 owned after
$13.31
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
2,400 owned after
$91.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$91.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
2,400 owned after
$91.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
10,000 owned after
$110.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$150.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
7,000 owned after
$220.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$346.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$263.40
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
7,000 owned after
$249.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
3,500 owned after
$76.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
3,750 owned after
$13.31
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
2,400 owned after
$91.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
1,000 owned after
$91.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
2,000 owned after
$91.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
2,400 owned after
$150.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
2,400 owned after
$180.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
1,350 owned after
$220.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Indirect · (m)
Holding
2,746 owned after
$180.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
750 owned after
$346.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
500 owned after
$263.40
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
500 owned after
$249.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
313 owned after
$76.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Fok Manson
Director
4Stock Option (Right to Buy)
Derivative · Direct · (m)
Holding
625 owned after
$9.14
exercise price
2023-04-24
2023-04-24
holding as of filing
Davis Stephanie A
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
500 owned after
$241.20
exercise price
2023-04-24
2023-04-24
holding as of filing
Davis Stephanie A
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
375 owned after
$229.80
exercise price
2023-04-24
2023-04-24
holding as of filing
Davis Stephanie A
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
875 owned after
$249.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Davis Stephanie A
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
438 owned after
$76.00
exercise price
2023-04-24
2023-04-24
holding as of filing
Davis Stephanie A
Director
4Stock Option (Right to Buy)
Derivative · Direct
Holding
875 owned after
$9.14
exercise price
2023-04-24
2023-04-24
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
3,500 owned after
$345.80
exercise price
2023-04-24
2023-04-24
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
1,500 owned after
$205.20
exercise price
2023-04-24
2023-04-24
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
450 owned after
$71.20
exercise price
2023-04-24
2023-04-24
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
3,750 owned after
$13.31
exercise price
2023-04-24
2023-04-11
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
3,500 owned after
$345.80
exercise price
2023-04-11
2023-04-11
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
1,500 owned after
$205.20
exercise price
2023-04-11
2023-04-11
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
450 owned after
$71.20
exercise price
2023-04-11
2023-04-11
holding as of filing
Cook Timothy DeVere
Officer (See Remarks)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
3,750 owned after
$13.31
exercise price
2023-04-11
2023-04-11
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
2,400 owned after
$91.00
exercise price
2023-04-11
2023-04-11
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$91.00
exercise price
2023-04-11
2023-04-11
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
2,400 owned after
$91.00
exercise price
2023-04-11
2023-04-11
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
10,000 owned after
$110.00
exercise price
2023-04-11
2023-04-11
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$150.00
exercise price
2023-04-11
2023-04-11
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
7,000 owned after
$220.00
exercise price
2023-04-11
2023-04-11
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$346.00
exercise price
2023-04-11
2023-04-11
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
6,000 owned after
$263.40
exercise price
2023-04-11
2023-04-11
holding as of filing
Kwan Rudolf
Officer (EVP, Chief Medical Officer)
4Stock Option (Right to Buy)
Derivative · Direct
Holding
7,000 owned after
$249.00
exercise price
2023-04-11