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

1. Name and Address of Reporting Person *

LAU JOHNSON YIU NAM
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
(Last)          (First)          (Middle)

C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600
3. Date of Earliest Transaction (MM/DD/YYYY)

5/6/2021
(Street)

BUFFALO, NY 14203
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
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. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. 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 5/6/2021  P  5000 A$3.99 3242959 D  
Common Stock         678880 I (1)(2)By Avalon Biomedical (Management) Limited (1)(2)
Common Stock         164925 I (2)By Spouse (2)
Common Stock         107181 (3)I (1)(2)(3)By Avalon Polytom (HK) Limited (1)(2)(3)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. 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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy) $4.55           5/9/2014 5/9/2021 Common Stock 80000  80000 D  
Stock Option (Right to Buy) $4.55           3/26/2013 3/26/2022 Common Stock 150000  150000 D  
Stock Option (Right to Buy) $4.55           1/2/2013 1/2/2023 Common Stock 1200000  1200000 D  
Stock Option (Right to Buy) $7.50           5/22/2018 5/22/2025 Common Stock 1400000  1400000 D  
Stock Option (Right to Buy) $11.00           6/13/2018 6/13/2027 Common Stock 1  1 D  
Stock Option (Right to Buy) $9.00           7/17/2019 7/17/2025 Common Stock 54904  54904 I (1)(2)By Avalon Biomedical (Management) Limited (1)(2)
Stock Option (Right to Buy) $17.30            (4)3/27/2028 Common Stock 250000  250000 D  
Stock Option (Right to Buy) $13.17            (5)2/28/2029 Common Stock 250000  250000 D  
Stock Option (Right to Buy) $7.32           12/31/2020 (6)3/24/2030 Common Stock 55045  55045 D  
Stock Option (Right to Buy) $12.45            (7)6/5/2030 Common Stock 300000  300000 D  

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 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.
(2) 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.
(3) 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.
(4) This option vests in four equal annual installments beginning on March 27, 2019.
(5) This option vests in four equal annual installments beginning on February 28, 2020.
(6) This option was issued to the reporting person pursuant to the 2017 Omnibus Incentive Plan in lieu of $363,846.14 of base salary.
(7) This option vests in four equal annual installments beginning on June 5, 2021.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
LAU JOHNSON YIU NAM
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600
BUFFALO, NY 14203
X
CEO and Chairman of the Board

Signatures
/s/Teresa Bair, Attorney-in-Fact5/6/2021
**Signature of Reporting PersonDate

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