Lau Johnson Yiu Nam's Form 4 filing
Athenex, Inc. (ATNX) · filed Nov 12, 2021
- Accession no.
- 0001209191-21-064223
- Filed
- Nov 12, 2021
- Trade date
- Nov 12, 2021
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction. Open-market purchases total $20.7K. It was filed on the trade date.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Lau Johnson Yiu NamCIK 0001181165 | Director, Officer (CEO and Chairman of the Board) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 12, 2021 | Common Stock | PPurchaseAcquired | +10,000 | $2.07F1 | +$20,700 | 3,260,959 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This transaction was executed in multiple trades ranging from $2.065 to $2.070. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
Referenced by the price of 1 transaction in Table I.
Remarks
Exhibit List: Exhibit 24.1 - Power of Attorney