LAU JOHNSON YIU NAM (CEO and Chairman of the Board) received a stock award from ATHENEX, INC.

Compensation award — not an open‑market transaction. Less informative as a directional signal.

A · 1 award

LAU JOHNSON YIU NAM

Filed: 2/27/2023ACC: 0001209191-23-013259

InsiderLAU JOHNSON YIU NAMCIK 1181165

→

IssuerATHENEX, INC.CIK 1300699

DirectorOfficer10% Owner· CEO and Chairman of the Board

Since Jun 2018

+1.59K

Net shares

Net buyer

$4.4K

Total acquired

Open market trades

0B · 0S

Total transactions

1.59K acquired

Non-Derivative Transactions1

Common Stock

Direct

A · Award

+1.59K

Price / share

$2.74

Trade value

$4.36K

% of position

0.8%

2/24/2023

208.62K→210.22K

Total

Net shares

+1.59K

Net value

$4.36K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	2/24/2023	A · Award	+1.59K	$2.74	$4.36K	0.8%	208.62K	210.22K
Total			+1.59K		$4.36K

Derivative Transactions0

No derivative transactions reported

Non-Derivative Holdings (Post-Transaction)3

Common Stock

Indirect

Shares owned8.25K

Common Stock

Indirect

Shares owned5.36K

Common Stock

Indirect

Shares owned33.94K

Total

47.55K indirect47.55K

Security Title	Shares Owned	Ownership Type
Common Stock	8.25K	Indirect
Common Stock	5.36K	Indirect
Common Stock	33.94K	Indirect
Total	47.55K	47.55K indirect

Derivative Holdings (Post-Transaction)10

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

70K

Shares owned

70K

Exercise price

150.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

12.50K

Shares owned

12.50K

Exercise price

13.31

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

12.50K

Shares owned

12.50K

Exercise price

346.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

7.50K

Shares owned

7.50K

Exercise price

76.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

12.50K

Shares owned

12.50K

Exercise price

263.40

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

15K

Shares owned

15K

Exercise price

249.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

2.75K

Shares owned

2.75K

Exercise price

146.40

Expiration

—

Exercise window

—

Restricted Stock Units

Direct

Underlying security

Common Stock

Underlying shares

5.63K

Shares owned

5.63K

Exercise price

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

1.00

Shares owned

1.00

Exercise price

220.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Indirect

Underlying security

Common Stock

Underlying shares

2.75K

Shares owned

2.75K

Exercise price

180.00

Expiration

—

Exercise window

—

Total

Underlying

141.13K

Owned

141.13K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Stock Option (Right to Buy) Direct	Common Stock	150.00	—	—	70K	70K
Stock Option (Right to Buy) Direct	Common Stock	13.31	—	—	12.50K	12.50K
Stock Option (Right to Buy) Direct	Common Stock	346.00	—	—	12.50K	12.50K
Stock Option (Right to Buy) Direct	Common Stock	76.00	—	—	7.50K	7.50K
Stock Option (Right to Buy) Direct	Common Stock	263.40	—	—	12.50K	12.50K
Stock Option (Right to Buy) Direct	Common Stock	249.00	—	—	15K	15K
Stock Option (Right to Buy) Direct	Common Stock	146.40	—	—	2.75K	2.75K
Restricted Stock Units Direct	Common Stock		—	—	5.63K	5.63K
Stock Option (Right to Buy) Direct	Common Stock	220.00	—	—	1.00	1.00
Stock Option (Right to Buy) Indirect	Common Stock	180.00	—	—	2.75K	2.75K
Total					141.13K	141.13K