ATHENEX, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 74 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-07-13: Reporting owner Ma Huateng | Advance Data Services Ltd; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
- 2017-06-19: Reporting owner Kwan Rudolf; Form 4/A; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-19: Reporting owner YORDON JEFFREY; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-19: Reporting owner WU JINN; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-07-13 holding as of filing | Ma Huateng | Advance Data Services Ltd 10% Owner | 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $7.50 exercise price | 2017-07-13 | ||
| 2017-06-19 | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $11.00 exercise price | 2018-04-27 | |
| 2017-06-19 | YORDON JEFFREY Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +230,000 230,000 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | WU JINN Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,500 28,500 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | Kwan Rudolf Director, Officer (EVP, Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board), 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1 1 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | Zukin James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,500 19,500 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | Zuo William Wei Officer (President, China) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1 1 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | Pedder Simon Officer (See Remarks.) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +130,000 130,000 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | CAMPBELL KIM Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | Trainor-Degirolamo Sheldon Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,500 19,500 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | CANNON MICHAEL D Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | Mui Bing How Tammy | Zhang Song-Yi | Beansprouts Ltd | Mandra Medical Ltd Director | Director, 10% Owner | Director | Director | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $11.00 exercise price | 2017-06-21 | ||
| 2017-06-19 | Riehle J Nick Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 120,000 owned after | $11.00 exercise price | 2017-06-21 | |
| 2017-06-19 | Fok Manson Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $11.00 exercise price | 2017-06-21 | ||
| 2017-06-19 | Leung Antony Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $11.00 exercise price | 2017-06-21 | ||
| 2017-06-14 | Zuo William Wei Officer (President, China) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1 1 owned after | $11.00 exercise price | 2018-04-27 | |
| 2017-06-14 | Zukin James Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,500 19,500 owned after | $11.00 exercise price | 2018-04-27 | |
| 2017-06-14 | Zhang Song-Yi | Mandra Medical Ltd | Mui Bing How Tammy | Beansprouts Ltd Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,500 28,500 owned after | $11.00 exercise price | 2018-04-27 | |
| 2017-06-14 | WU JINN Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,500 28,500 owned after | $11.00 exercise price | 2018-04-27 | |
| 2017-06-14 | Trainor-Degirolamo Sheldon Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,500 19,500 owned after | $11.00 exercise price | 2018-04-27 | |
| 2017-06-14 | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board), 10% Owner | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1 1 owned after | $11.00 exercise price | 2018-04-27 | |
| 2017-06-14 | Fok Manson Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,000 27,000 owned after | $11.00 exercise price | 2018-04-27 | |
| 2017-06-14 | CANNON MICHAEL D Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $11.00 exercise price | 2018-04-27 | |
| 2017-06-14 | CAMPBELL KIM Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $11.00 exercise price | 2018-04-27 | |
| 2017-06-13 | Zukin James Other (See Remarks) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,500 19,500 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | Riehle J Nick Other (See Remarks) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 120,000 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | CANNON MICHAEL D Other (See Remarks) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | Zuo William Wei Officer (President, China Division) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1 1 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | Beansprouts Ltd | Zhang Song-Yi | Mui Bing How Tammy | Mandra Medical Ltd 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,500 28,500 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | YORDON JEFFREY Officer (See Remarks) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +230,000 230,000 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | WU JINN Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,500 28,500 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | Trainor-Degirolamo Sheldon Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,500 19,500 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | Pedder Simon Officer (See Remarks) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +130,000 130,000 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board), 10% Owner | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1 1 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | Fok Manson Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,000 27,000 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 | CAMPBELL KIM Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $11.00 exercise price | 2018-08-21 | |
| 2017-06-13 holding as of filing | Fok Manson Director | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Fok Manson Director | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Fok Manson Director | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Fok Manson Director | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Fok Manson Director | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $7.50 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Fok Manson Director | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $9.00 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Fok Manson Director | 3 | Stock Option (Right to Buy) Derivative · Indirect · (m) | Holding | $9.00 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | CAMPBELL KIM Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $9.00 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Pedder Simon Officer (See Remarks) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Pedder Simon Officer (See Remarks) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $9.00 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | WU JINN Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | WU JINN Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | WU JINN Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | WU JINN Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | WU JINN Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $5.50 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | WU JINN Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $5.50 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Mandra Medical Ltd | Mui Bing How Tammy | Zhang Song-Yi | Beansprouts Ltd 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $7.50 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Mandra Medical Ltd | Mui Bing How Tammy | Zhang Song-Yi | Beansprouts Ltd 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $9.00 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Mandra Medical Ltd | Mui Bing How Tammy | Zhang Song-Yi | Beansprouts Ltd 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Indirect · (m) | Holding | $9.00 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Kwan Rudolf Director, Officer (EVP, Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Kwan Rudolf Director, Officer (EVP, Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Kwan Rudolf Director, Officer (EVP, Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Kwan Rudolf Director, Officer (EVP, Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Kwan Rudolf Director, Officer (EVP, Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Kwan Rudolf Director, Officer (EVP, Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Kwan Rudolf Director, Officer (EVP, Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $5.50 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Kwan Rudolf Director, Officer (EVP, Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $7.50 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Leung Antony Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $9.00 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (See Remarks), 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $4.25 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (See Remarks), 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (See Remarks), 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (See Remarks), 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $4.55 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (See Remarks), 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $7.50 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (See Remarks), 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Indirect · (m) | Holding | $9.00 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | YORDON JEFFREY Officer (See Remarks) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $9.00 exercise price | 2017-06-13 | ||
| 2017-06-13 holding as of filing | Zuo William Wei Officer (President, China) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $7.50 exercise price | 2017-06-13 |