Wu Jinn's Form 4 filing
Athenex, Inc. (ATNX) · filed Aug 30, 2022
- Accession no.
- 0001209191-22-048039
- Filed
- Aug 30, 2022, 6:20 PM ET
- Trade date
- Aug 3-22, 2022
- Filing delay
- 27 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market purchases total $4.22K. It was filed 27 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Wu JinnCIK 0001314254 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | –F1 | – | 474,783 | Direct | |
| Aug 22, 2022 | Common Stock | PPurchaseAcquired | +10,000 | $0.4221 | +$4,221 | 484,783 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 0 | 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
These restricted stock units, which convert into common stock on a one-for one basis, vested on August 3, 2022.
Referenced by the price of 1 transaction in Table I.