SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

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

14203

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/13/2017

3. Issuer Name and Ticker or Trading Symbol
Athenex, Inc. [ ATNX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	See Remarks

5. 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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	2,322,722	D
Common Stock	678,880	I⁽¹⁾⁽⁷⁾	By Avalon Biomedical (Management) Limited⁽¹⁾⁽⁷⁾
Common Stock	161,647	I⁽⁷⁾	By Spouse⁽⁷⁾

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Option (Right to Buy)	⁽²⁾	12/03/2018	Common Stock	60,000	$4.25	D
Stock Option (Right to Buy)	⁽³⁾	05/09/2021	Common Stock	240,000	$4.55	D
Stock Option (Right to Buy)	⁽⁴⁾	03/26/2022	Common Stock	150,000	$4.55	D
Stock Option (Right to Buy)	01/02/2013	01/02/2023	Common Stock	1,200,000	$4.55	D
Stock Option (Right to Buy)	⁽⁵⁾	05/22/2025	Common Stock	1,400,000	$7.5	D
Stock Option (Right to Buy)	⁽⁶⁾	07/17/2025	Common Stock	54,904	$9	I⁽¹⁾⁽⁷⁾	By Avalon Biomedical (Management) Limited⁽¹⁾⁽⁷⁾

Explanation of Responses:

1. 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.

2. The option vested in two equal annual installments beginning on December 3, 2009.

3. The option vested in three equal annual installments beginning on May 9, 2012.

4. The option vested in full on March 26, 2013.

5. The option vests in three annual installments beginning on May 22, 2016.

6. The option vests in three equal annual installments beginning on July 17, 2016.

7. 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.

Remarks:

Chief Executive Officer and Chairman of the Board Exhibit List: Exhibit 24.1 - Power of Attorney

	/s/ Teresa Bair, attorney-in-fact	06/13/2017
	** 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 5 (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.