KWAN RUDOLF (EVP, Chief Medical Officer) received a stock award from ATHENEX, INC.

Compensation award — not an open‑market transaction. Less informative as a directional signal.

A · 1 award

KWAN RUDOLF

Filed: 3/13/2023ACC: 0001209191-23-018198

InsiderKWAN RUDOLFCIK 1708965

→

IssuerATHENEX, INC.CIK 1300699

Officer· EVP, Chief Medical Officer

Since Nov 2018

+2.53K

Net shares

Net buyer

$4.9K

Total acquired

Open market trades

0B · 0S

Total transactions

2.53K acquired

Non-Derivative Transactions1

Common Stock

Direct

A · Award

+2.53K

Price / share

$1.94

Trade value

$4.90K

% of position

7.8%

3/10/2023

32.39K→34.92K

Total

Net shares

+2.53K

Net value

$4.90K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	3/10/2023	A · Award	+2.53K	$1.94	$4.90K	7.8%	32.39K	34.92K
Total			+2.53K		$4.90K

Derivative Transactions0

No derivative transactions reported

Non-Derivative Holdings (Post-Transaction)0

No non-derivative holdings reported

Derivative Holdings (Post-Transaction)12

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

2.40K

Shares owned

2.40K

Exercise price

91.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

2.40K

Shares owned

2.40K

Exercise price

91.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

10K

Shares owned

10K

Exercise price

110.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

Shares owned

Exercise price

91.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

Shares owned

Exercise price

150.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

3.75K

Shares owned

3.75K

Exercise price

13.31

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

3.50K

Shares owned

3.50K

Exercise price

76.00

Expiration

—

Exercise window

—

Restricted Stock Units

Direct

Underlying security

Common Stock

Underlying shares

2.63K

Shares owned

2.63K

Exercise price

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

Shares owned

Exercise price

220.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

Shares owned

Exercise price

249.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

Shares owned

Exercise price

263.40

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

Shares owned

Exercise price

346.00

Expiration

—

Exercise window

—

Total

Underlying

62.67K

Owned

62.67K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Stock Option (Right to Buy) Direct	Common Stock	91.00	—	—	2.40K	2.40K
Stock Option (Right to Buy) Direct	Common Stock	91.00	—	—	2.40K	2.40K
Stock Option (Right to Buy) Direct	Common Stock	110.00	—	—	10K	10K
Stock Option (Right to Buy) Direct	Common Stock	91.00	—	—	6K	6K
Stock Option (Right to Buy) Direct	Common Stock	150.00	—	—	6K	6K
Stock Option (Right to Buy) Direct	Common Stock	13.31	—	—	3.75K	3.75K
Stock Option (Right to Buy) Direct	Common Stock	76.00	—	—	3.50K	3.50K
Restricted Stock Units Direct	Common Stock		—	—	2.63K	2.63K
Stock Option (Right to Buy) Direct	Common Stock	220.00	—	—	7K	7K
Stock Option (Right to Buy) Direct	Common Stock	249.00	—	—	7K	7K
Stock Option (Right to Buy) Direct	Common Stock	263.40	—	—	6K	6K
Stock Option (Right to Buy) Direct	Common Stock	346.00	—	—	6K	6K
Total					62.67K	62.67K