X0306 4 2017-06-19 0001300699 Athenex, Inc. ATNX 0001290865 Zhang Song-Yi C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600 BUFFALO NY 14203 true true 0001709068 Mandra Medical Ltd NEWHAVEN TRUSTEES (BVI) LTD., 3RD FLOOR J&C BUILDING, P.O. BOX 933, ROAD TOWN TORTOLA D8 VG1110 VIRGIN ISLANDS, BRITISH true 0001709077 Beansprouts Ltd NEWHAVEN TRUSTEES (BVI) LTD., 3RD FLOOR J&C BUILDING, P.O. BOX 933, ROAD TOWN TORTOLA D8 VG1110 VIRGIN ISLANDS, BRITISH true 0001709117 Mui Bing How Tammy C/O ATHENEX, INC. 1001 MAIN STREET SUITE 600 BUFFALO NY 14203 true Common Stock 2017-06-19 4 C 0 227273 0 A 6657881 I By Mandra Medical Limited Common Stock 2017-06-19 4 P 0 146819 11 A 6804700 I By Mandra Medical Limited Common Stock 2017-06-19 4 P 0 181818 11 A 181818 I By iBase Ltd. Common Stock 4000 D Common Stock 678880 I By Avalon Biomedical (Management) Limited Common Stock 287176 I By Mandra Health Limited Convertible Loan 2017-06-19 4 A 0 2000000 0 A Common Stock 227273 2000000 I By Mandra Medical Limited Convertible Loan 2017-06-19 4 C 0 2000000 0 D Common Stock 227273 0 I By Mandra Medical Limited Stock Option (Right to Buy) 11 2017-06-19 4 A 0 28500 0 A 2027-06-19 Common Stock 28500 28500 D Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Song-Yi Zhang ("Mr. Zhang"), together with his spouse, indirectly owns all of the outstanding interests in Mandra Medical Limited, which owns 30% of the outstanding interests in Avalon Global, and Mr. Zhang 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. Each of Mandra Health Limited and Mandra Medical Limited are wholly-owned subsidiaries of Beansprouts Limited. Mr. Zhang is a member of the board of directors of each Mandra Health Limited and Mandra Medical Limited and, together with his spouse, owns all of the outstanding interests in Beansprouts Limited and shares voting and dispositive power over the shares held by it. Mr. Zhang is the sole owner and director of iBase Ltd. and has sole voting and dispositive power over the shares held by iBase Ltd. The option vests in four equal annual installments beginning on June 19, 2018. The Convertible Loan, issued pursuant to the Convertible Loan Agreement, dated January 28, 2017, by and between Athenex, Inc. and Mandra Medical Limited, was automatically convertible into shares of Athenex, Inc. common stock upon the closing of Athenex, Inc.'s initial public offering at a conversion price equal to outstanding principal amount of such notes reduced by a 20.0% discount to the initial public offering price; which was $11.00, and has not expiration date. Mr. Zhang 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. Zhang 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, these purchases were not deemed to occur until closing, or June 19, 2017. Exhibit List: The Power of Attorneys filed as Exhibits 24.1, 24.2, and 24.3 to the Form 3 filed by the Reporting Person on June 13, 2017 are incorporated herein by reference. Song-Yi Zhang, By: /s/ Teresa Bair, attorney-in-fact 2017-06-21 Mui Bing How Tammy, By: /s/ Teresa Bair, attorney-in-fact 2017-06-21 Mandra Medical Limited, By: /s/ Song-Yi Zhang, Director, By: /s/ Teresa Bair, attorney-in-fact 2017-06-21 Beansprouts Limited, By: /s/ Song-Yi Zhang, Director, By: /s/ Teresa Bair, attorney-in-fact 2017-06-21