X0306 4 2020-06-22 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 CEO and Chairman of the Board Common Stock 2020-06-22 4 P 0 2000 12.81 A 3114959 D Common Stock 678880 I By Avalon Biomedical (Management) Limited Common Stock 164925 I By Spouse Common Stock 107181 I By Avalon Polytom (HK) Limited Stock Option (Right to Buy) 4.55 2014-05-09 2021-05-09 Common Stock 15000 180000 D Stock Option (Right to Buy) 4.55 2013-03-26 2022-03-26 Common Stock 150000 150000 D Stock Option (Right to Buy) 4.55 2013-01-02 2023-01-02 Common Stock 1200000 1200000 D Stock Option (Right to Buy) 7.50 2018-05-22 2025-05-22 Common Stock 1400000 1400000 D Stock Option (Right to Buy) 11.00 2018-06-13 2027-06-13 Common Stock 1 1 D Stock Option (Right to Buy) 9.00 2019-07-17 2025-07-17 Common Stock 54904 54904 I By Avalon Biomedical (Management) Limited Stock Option (Right to Buy) 17.30 2028-03-27 Common Stock 250000 250000 D Stock Option (Right to Buy) 13.17 2029-02-28 Common Stock 250000 250000 D Stock Option (Right to Buy) 7.32 2020-12-31 2030-03-24 Common Stock 55045 55045 D 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. This option was issued to the reporting person pursuant to the 2017 Omnibus Incentive Plan in lieu of $363,846.14 of base salary. /s/Teresa Bair, Attorney-in-Fact 2020-06-22