X0206 3 2017-06-13 0 0001300699 Athenex, Inc. ATNX 0001181165 LAU JOHNSON YIU NAM C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600 BUFFALO NY 14203 1 1 1 0 See Remarks Common Stock 2322722 D Common Stock 678880 I By Avalon Biomedical (Management) Limited Common Stock 161647 I By Spouse Stock Option (Right to Buy) 4.25 2018-12-03 Common Stock 60000 D Stock Option (Right to Buy) 4.55 2021-05-09 Common Stock 240000 D Stock Option (Right to Buy) 4.55 2022-03-26 Common Stock 150000 D Stock Option (Right to Buy) 4.55 2013-01-02 2023-01-02 Common Stock 1200000 D Stock Option (Right to Buy) 7.50 2025-05-22 Common Stock 1400000 D Stock Option (Right to Buy) 9.00 2025-07-17 Common Stock 54904 I By Avalon Biomedical (Management) Limited 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 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. The option vested in two equal annual installments beginning on December 3, 2009. The option vested in three equal annual installments beginning on May 9, 2012. The option vested in full on March 26, 2013. The option vests in three annual installments beginning on May 22, 2016. The option vests in three equal annual installments beginning on July 17, 2016. 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. Chief Executive Officer and Chairman of the Board Exhibit List: Exhibit 24.1 - Power of Attorney /s/ Teresa Bair, attorney-in-fact 2017-06-13