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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	Yes	Yes	Yes	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	2019-10-16	6,000	$10.16	3,055,959	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
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
Common Stock	164,925	Indirect	By Spouse
Common Stock	107,181	Indirect	By Avalon Polytom (HK) Limited

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option (Right to Buy)	$4.55	2014-05-09	2021-05-09	220,000	220,000	Direct
Common Stock	Stock Option (Right to Buy)	$4.55	2013-03-26	2022-03-26	150,000	150,000	Direct
Common Stock	Stock Option (Right to Buy)	$4.55	2013-01-02	2023-01-02	1,200,000	1,200,000	Direct
Common Stock	Stock Option (Right to Buy)	$7.50	2018-05-22	2025-05-22	1,400,000	1,400,000	Direct
Common Stock	Stock Option (Right to Buy)	$11.00	2018-06-13	2027-06-13	1	1	Direct
Common Stock	Stock Option (Right to Buy)	$9.00	2019-07-17	2025-07-17	54,904	54,904	Indirect
Common Stock	Stock Option (Right to Buy)	$17.30		2028-03-27	250,000	250,000	Direct
Common Stock	Stock Option (Right to Buy)	$13.17		2029-02-28	250,000	250,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2021-05-09	220,000	220,000	Direct
2022-03-26	150,000	150,000	Direct
2023-01-02	1,200,000	1,200,000	Direct
2025-05-22	1,400,000	1,400,000	Direct
2027-06-13	1	1	Direct
2025-07-17	54,904	54,904	Indirect
2028-03-27	250,000	250,000	Direct
2029-02-28	250,000	250,000	Direct

Footnotes

Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Dr. Johnson Lau ("Dr. Lau") owns all of the outstanding interests in Creative Decade Global Limited, which owns 34.63% 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.
These shares were acquired pursuant to the terms of a License Agreement dated as of June 29, 2018 by and between Athenex Therapeutics Limited, a wholly-owned subsidiary of Athenex, Inc. ("Athenex") and Avalon Polytom (HK) Limited, a majority-owned affiliate of Avalon Global. The number of shares was determined by dividing $2.0 million by the closing price of Athenex common stock on June 29, 2018.
This option vests in four equal annual installments beginning on March 27, 2019.
This option vests in four equal annual installments beginning on February 28, 2020.