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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1300699	Athenex Inc.	ATNX	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1181165	Nam Yiu Johnson Lau	C/O Athenex, Inc., 1001 Main Street, Suite 600 Buffalo NY 14203	Ceo And Chairman Of The Board	No	No	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-06-19	400,000	$0.00	2,722,722	No	4	A	Direct
Common Stock	Acquisiton	2017-06-19	25,200	$11.00	2,747,922	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	A	Direct
No	4	P	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Acquisiton	2017-06-19	1	$0.00	1	$11.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1	2018-06-19	2027-06-19	No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	678,880	Indirect	By Avalon Biomedical (Management) Limited
Common Stock	161,647	Indirect	By Spouse

Footnotes

Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Dr. Lau owns all of the outstanding interests in Creative Decade Global Limited, which owns 30% of the outstanding interests in Avalon Global, and Dr. Lau serves on the board of directors of Avalon Global and has shared voting and dispositive power with respect to the shares held by Avalon Biomedical.
Dr. Lau disclaims beneficial ownership of the reported securities except to the extent, if any, of its or his pecuniary interest therein, and this report shall not be deemed an admission that Dr. Lau is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Due to the conditions to closing of the initial public offering of the Common Stock, this purchase was not deemed to occur until closing, or on June 19, 2017.