ATHENEX, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 31 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 Restricted Stock Units; Transaction Holding.
- 2023-05-08: Reporting owner Kwan Rudolf; Form 4; Security Restricted Stock Units; Transaction Holding.
- 2023-05-08: Reporting owner Cook Timothy DeVere; Form 4; Security Restricted Stock Units; Transaction Holding.
- 2023-04-24: Reporting owner LAU JOHNSON YIU NAM; Form 4; Security Restricted Stock Units; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-05-08 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board) | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 5,625 owned after | no price filed | 2023-05-08 | |
| 2023-05-08 holding as of filing | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | 2,625 owned after | no price filed | 2023-05-08 | |
| 2023-05-08 holding as of filing | Cook Timothy DeVere Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | Holding | 338 owned after | no price filed | 2023-05-08 | |
| 2023-04-24 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board) | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 5,625 owned after | no price filed | 2023-04-24 | |
| 2023-04-24 holding as of filing | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | 2,625 owned after | no price filed | 2023-04-24 | |
| 2023-04-24 holding as of filing | Cook Timothy DeVere Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | Holding | 338 owned after | no price filed | 2023-04-24 | |
| 2023-04-11 holding as of filing | Cook Timothy DeVere Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | Holding | 338 owned after | no price filed | 2023-04-11 | |
| 2023-04-11 holding as of filing | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | 2,625 owned after | no price filed | 2023-04-11 | |
| 2023-04-11 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board) | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 5,625 owned after | no price filed | 2023-04-11 | |
| 2023-03-27 holding as of filing | Cook Timothy DeVere Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | Holding | 338 owned after | no price filed | 2023-03-27 | |
| 2023-03-27 holding as of filing | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | 2,625 owned after | no price filed | 2023-03-27 | |
| 2023-03-27 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board) | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 5,625 owned after | no price filed | 2023-03-27 | |
| 2023-03-13 holding as of filing | Cook Timothy DeVere Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | Holding | 338 owned after | no price filed | 2023-03-13 | |
| 2023-03-13 holding as of filing | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | 2,625 owned after | no price filed | 2023-03-13 | |
| 2023-03-13 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board) | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 5,625 owned after | no price filed | 2023-03-13 | |
| 2023-02-27 holding as of filing | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | 2,625 owned after | no price filed | 2023-02-27 | |
| 2023-02-27 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board) | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 5,625 owned after | no price filed | 2023-02-27 | |
| 2023-02-27 holding as of filing | Cook Timothy DeVere Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | Holding | 338 owned after | no price filed | 2023-02-27 | |
| 2023-02-22 | Annoni Joe Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −625 1,875 owned after | $0.00 | 2023-02-27 | |
| 2023-02-13 holding as of filing | Cook Timothy DeVere Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | Holding | 6,750 owned after | no price filed | 2023-02-13 | |
| 2023-02-13 holding as of filing | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | 52,500 owned after | no price filed | 2023-02-13 | |
| 2023-02-13 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board) | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 112,500 owned after | no price filed | 2023-02-13 | |
| 2023-01-31 holding as of filing | Cook Timothy DeVere Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | Holding | 6,750 owned after | no price filed | 2023-01-31 | |
| 2023-01-31 holding as of filing | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | 52,500 owned after | no price filed | 2023-01-31 | |
| 2023-01-31 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board) | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 112,500 owned after | no price filed | 2023-01-31 | |
| 2023-01-17 holding as of filing | Cook Timothy DeVere Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | Holding | 6,750 owned after | no price filed | 2023-01-17 | |
| 2023-01-17 holding as of filing | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | 52,500 owned after | no price filed | 2023-01-17 | |
| 2023-01-17 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board) | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 112,500 owned after | no price filed | 2023-01-17 | |
| 2023-01-03 holding as of filing | Cook Timothy DeVere Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | Holding | 6,750 owned after | no price filed | 2023-01-03 | |
| 2023-01-03 holding as of filing | Kwan Rudolf Officer (EVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | Holding | 52,500 owned after | no price filed | 2023-01-03 | |
| 2023-01-03 holding as of filing | LAU JOHNSON YIU NAM Director, Officer (CEO and Chairman of the Board) | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 112,500 owned after | no price filed | 2023-01-03 |