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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1300699	Athenex Inc.	ATNX	Pharmaceutical Preparations (2834)	431985966

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1708964	Manson Fok	C/O Athenex, Inc. 1001 Main Street, Suite 600 Buffalo NY 14203		Yes	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	2018-02-07	30,000	$14.31	1,799,609	No	4	P	Direct
Common Stock	Acquisiton	2018-02-08	20,000	$14.44	1,819,609	No	4	P	Direct

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

Reported Non-Derivative Holdings

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

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option (Right to Buy)	$4.55	2023-01-02	80,000	80,000	Direct
Common Stock	Stock Option (Right to Buy)	$4.55	2023-05-13	48,000	48,000	Direct
Common Stock	Stock Option (Right to Buy)	$4.55	2023-10-11	20,000	20,000	Direct
Common Stock	Stock Option (Right to Buy)	$4.55	2024-06-12	40,000	40,000	Direct
Common Stock	Stock Option (Right to Buy)	$7.50	2025-05-18	48,000	48,000	Direct
Common Stock	Stock Option (Right to Buy)	$9.00	2025-10-17	48,000	48,000	Direct
Common Stock	Stock Option (Right to Buy)	$11.00	2027-06-19	27,000	27,000	Direct
Common Stock	Stock Option (Right to Buy)	$9.00	2025-07-17	54,904	54,904	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2023-01-02	80,000	80,000	Direct
2023-05-13	48,000	48,000	Direct
2023-10-11	20,000	20,000	Direct
2024-06-12	40,000	40,000	Direct
2025-05-18	48,000	48,000	Direct
2025-10-17	48,000	48,000	Direct
2027-06-19	27,000	27,000	Direct
2025-07-17	54,904	54,904	Indirect

Footnotes

Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Mason Fok, M.B., B.S. ("Dr. Fok"), together with his spouse, owns all of the outstanding interests in Sino Glory Developments Limited, which owns 30% of the outstanding interests in Avalon Global, and Dr. Fok serves on the board of directors of Avalon Global and shares voting and dispositive power with respect to the has shared held by Avalon Biomedical.
Dr. Fok 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. Fok 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.
The option vested in full on January 2, 2014.
The option vested in full on May 13, 2014.
The option vested in two equal annual installments beginning on October 11, 2014.
The option vested in two equal annual installments beginning on June 12, 2015.
The option vested in full on May 18, 2016.
The option vested in two equal annual installments beginning on October 17, 2016.
The option vests in four equal annual installments beginning on June 19, 2018.
The option vests in three equal annual installments beginning on July 17, 2016.