SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Fok Manson

(Last)

(First)

(Middle)

C/O ATHENEX, INC.

1001 MAIN STREET, SUITE 600

(Street)

BUFFALO

14203

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/13/2017

3. Issuer Name and Ticker or Trading Symbol
Athenex, Inc. [ ATNX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	1,242,336	D
Common Stock	678,880	I⁽¹⁾⁽⁹⁾	By Avalon Biomedical (Management) Limited⁽¹⁾⁽⁹⁾

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Option (Right to Buy)	⁽²⁾	01/02/2023	Common Stock	80,000	$4.55	D
Stock Option (Right to Buy)	⁽³⁾	05/13/2023	Common Stock	48,000	$4.55	D
Stock Option (Right to Buy)	⁽⁴⁾	10/11/2023	Common Stock	20,000	$4.55	D
Stock Option (Right to Buy)	⁽⁵⁾	06/12/2024	Common Stock	40,000	$4.55	D
Stock Option (Right to Buy)	⁽⁶⁾	05/18/2025	Common Stock	48,000	$7.5	D
Stock Option (Right to Buy)	⁽⁷⁾	10/17/2025	Common Stock	48,000	$9	D
Stock Option (Right to Buy)	⁽⁸⁾	07/17/2025	Common Stock	54,904	$9	I⁽¹⁾⁽⁹⁾	By Avalon Biomedical (Management) Limited⁽¹⁾⁽⁹⁾

Explanation of Responses:

1. 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. ("Mr. 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 Mr. 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.

2. The option vested in full on January 2, 2014.

3. The option vested in full on May 13, 2014.

4. The option vested in two equal annual installments beginning on October 11, 2014.

5. The option vested in two equal annual installments beginning on June 12, 2015.

6. The option vested in full on May 18, 2016.

7. The option vested in two equal annual installments beginning on October 17, 2016.

8. The option vests in three equal annual installments beginning on July 17, 2016.

9. Mr. 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 Mr. 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.

Remarks:

Exhibit List: Exhibit 24.1 - Power of Attorney

	/s/ Teresa Bair, attorney-in-fact	06/13/2017
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.