SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
LAU JOHNSON YIU NAM

(Last) (First) (Middle)
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600

(Street)
BUFFALO NY 14203

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Athenex, Inc. [ ATNX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
CEO and Chairman of the Board
3. Date of Earliest Transaction (Month/Day/Year)
11/12/2021
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/12/2021 P 10,000 A $2.069(1) 3,260,959 D
Common Stock 678,880 I(2)(3) By Avalon Biomedical (Management) Limited(2)(3)
Common Stock 164,925 I(3) By Spouse(3)
Common Stock 107,181(4) I(2)(3)(4) By Avalon Polytom (HK) Limited(2)(3)(4)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $4.55 03/26/2013 03/26/2022 Common Stock 150,000 150,000 D
Stock Option (Right to Buy) $4.55 01/02/2013 01/02/2023 Common Stock 1,200,000 1,200,000 D
Stock Option (Right to Buy) $7.5 05/22/2018 05/22/2025 Common Stock 1,400,000 1,400,000 D
Stock Option (Right to Buy) $11 06/13/2018 06/13/2027 Common Stock 1 1 D
Stock Option (Right to Buy) $9 07/17/2019 07/17/2025 Common Stock 54,904 54,904 I(2)(3) By Avalon Biomedical (Management) Limited(2)(3)
Stock Option (Right to Buy) $17.3 (5) 03/27/2028 Common Stock 250,000 250,000 D
Stock Option (Right to Buy) $13.17 (6) 02/28/2029 Common Stock 250,000 250,000 D
Stock Option (Right to Buy) $7.32 12/31/2020(7) 03/24/2030 Common Stock 55,045 55,045 D
Stock Option (Right to Buy) $12.45 (8) 06/05/2030 Common Stock 300,000 300,000 D
Stock Option (Right to Buy) $3.8 (9) 08/03/2031 Common Stock 150,000 150,000 D
Restricted Stock Units (10) (11) (11) Common Stock 150,000 150,000 D
Explanation of Responses:
1. This transaction was executed in multiple trades ranging from $2.065 to $2.070. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
2. 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.
3. 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.
4. 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.
5. This option vests in four equal annual installments beginning on March 27, 2019.
6. This option vests in four equal annual installments beginning on February 28, 2020.
7. This option was issued to the reporting person pursuant to the 2017 Omnibus Incentive Plan in lieu of $363,846.14 of base salary.
8. This option vests in four equal annual installments beginning on June 5, 2021.
9. This option vests in four equal annual installments beginning on August 3, 2022.
10. Each restricted stock unit represents a contingent right to receive one share of stock.
11. The restricted stock units vest in four equal annual installments beginning on August 3, 2022.
Remarks:
Exhibit List: Exhibit 24.1 - Power of Attorney
/s/Steven Adams, Attorney-in-Fact 11/12/2021
** 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 4 (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.
POWER OF ATTORNEY
KNOW BY ALL THESE PRESENTS, that the undersigned hereby constitutes and appoints
each of (i) Steven Adams and (ii) Michael Smolinski, and each of them acting
alone, signing singly, as the undersigned's true and lawful attorney-in-fact to:

1.	prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form ID,
including amendments thereto, and any other documents necessary or appropriate
to obtain codes and passwords enabling the undersigned to make electronic
filings with the SEC of reports required by Section 16(a) of the Securities
Exchange Act of 1934 (the "Exchange Act") or any rule or regulation of the SEC;

2.	execute for and on behalf of the undersigned, in the undersigned's capacity
as an officer,  trustee and/or shareholder of the Company, Forms 3, 4 and 5 in
accordance with Section 16(a) of the Exchange Act and the rules and regulations
thereunder, and any other forms or reports the undersigned may be required to
file in connection with the undersigned's ownership, acquisition or disposition
of securities of the Company;

3.	do and perform any and all acts for and on behalf of the undersigned that may
be necessary or desirable to complete and execute any such Form 3, 4 or 5, or
other form or report, and timely file such form or report with the SEC and any
stock exchange or similar authority; and

4.	take any other action of any type whatsoever in connection with the foregoing
that, in the opinion of such attorney-in-fact, may be of benefit to, in the best
interest of, or legally required by the undersigned, it being understood that
the documents executed by such attorney-in-fact on behalf of the undersigned
pursuant to this Power of Attorney shall be in such form and shall contain such
terms and conditions as such attorney-in-fact may approve in her discretion.

The undersigned hereby grants to such attorney-in-fact full power and authority
to do and perform any and every act and thing whatsoever requisite, necessary or
proper to be done in the exercise of any of the rights and powers herein
granted, as fully to all intents and purposes as the undersigned might or could
do if personally present, with full power of substitution or revocation, hereby
ratifying and confirming all that such attorney-in-fact, or her substitute or
substitutes, shall lawfully do or cause to be done by virtue of this Power of
Attorney and the rights and powers herein granted. The undersigned acknowledges
that the foregoing attorneys-in-fact, in serving in such capacity at the request
of the undersigned, are not assuming any of the undersigned's responsibilities
to comply with Section 16 of the Exchange Act.

This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in
securities issued by the Company, unless earlier revoked by the undersigned in a
signed writing delivered to the foregoing attorneys-in-fact. This Power of
Attorney may be filed with the SEC as a confirming statement of the authority
granted herein.

This Power of Attorney does not relieve the undersigned from responsibility for
compliance with the undersigned's obligations under the Exchange Act, including,
without limitation, the reporting requirements under Section 16 of the Exchange
Act. Additionally, although pursuant to this Power of Attorney the Company will
use commercially reasonable best efforts to timely and accurately file Section
16 reports on behalf of the undersigned, the Company does not represent or
warrant that it will be able to in all cases timely and accurately file Section
16 reports on behalf of the undersigned due to various factors and the
undersigned and the Company's need to rely on others for information, including
the undersigned and brokers of the undersigned.



[Signature page follows]
IN WITNESS WHEREOF the undersigned has caused this Power of Attorney to be
executed as of this 11 day of November, 2021.




	                                        /s/Johnson Yiu Nam Lau
	                                        -------------------------------
                                                Name:  Johnson Yiu Nam Lau