Sec Form 4 Filing - Annoni Joe @ Athenex, Inc. - 2023-02-22

FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person Annoni Joe 2. Issuer Name and Ticker or Trading Symbol Athenex, Inc. [ ATNX] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) _____ Director _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) Chief Financial Officer (Last) (First) (Middle) C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600 3. Date of Earliest Transaction (MM/DD/YY) 02/22/2023 (Street) BUFFALO, NY14203 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 02/22/2023 M 625 A 625 ( 2 ) D Common Stock 02/22/2023 F 250 D $ 2.66 375 D

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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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 (MM/DD/YY) 7. Title and Amount of Underlying Securities (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 of Derivative Security: 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) $ 16.6 ( 3 ) ( 4 ) ( 5 ) 02/22/2032 Common Stock 2,500 ( 3 ) 2,500 ( 3 ) D Restricted Stock Units ( 1 ) 02/22/2023 M 625 ( 6 ) ( 7 )( 8 ) ( 7 )( 8 ) Common Stock 625 ( 6 ) $ 0 1,875 ( 6 ) D Stock Option (Right to Buy) $ 13.31 ( 3 ) ( 9 ) 07/20/2032 Common Stock 5,000 ( 3 ) 5,000 ( 3 ) D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Annoni Joe C/O ATHENEX, INC., 1001 MAIN STREET SUITE 600 BUFFALO, NY14203 Chief Financial Officer Signatures /s/Steven Adams, Attorney-in-Fact 02/27/2023 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Each restricted stock unit represents the contingent right to receive one share of stock. ( 2 )As of February 15, 2023, the issuer effected a reverse stock split of its common stock at a ratio of 1-for-20, resulting in every 20 shares owned by the reporting person to be combined into one share of common stock. ( 3 )This option was adjusted to reflect the reverse stock split that occurred on February 15, 2023. ( 4 )This option was previously reported by Mr. Annoni. The date and exercise price have been changed to correct an administrative error. ( 5 )This option vests in four equal annual installments beginning on February 22, 2023. ( 6 )The restricted stock units were adjusted to reflect the reverse stock split that occurred on February 15, 2023. ( 7 )The restricted stock units vest in four equal installments beginning on February 22, 2023. ( 8 )This restricted stock unit was previously reported by Mr. Annoni. The vesting dates have been changed to correct an administrative error. ( 9 )This option vests in four equal annual installments beginning on July 20, 2023.

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).

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