Athenex Inc – Indentures Watch

from 10-K 5 pages Description of Securities

from 10-K 3 pages Indenture or similar

from 10-Q 19 pages Warrant Agency Agreement

from 10-Q 18 pages Form of Common Stock Purchase Warrant Athenex, Inc

from S-8 1 page First Amendment to the Athenex, Inc. Amended and Restated 2017 Omnibus Incentive Plan

from 8-K 14 pages Neither This Warrant Nor the Securities Issuable Upon Its Exercise or Conversion Have Been Registered Under the Securities Act of 1933, as Amended (The “Securities Act”), or Any Applicable State Securities Law and May Not Be Transferred Except (I) in Accordance With the Securities Act or Such Applicable State Securities Laws, Pursuant to Registration or Exemption Therefrom, or (II) Where, in the Opinion of Counsel, Registration Under the Securities Acts or Such Applicable State Securities Laws Is Not Required in Connection With Such Proposed Transfer. [ ] Shares of Voting Common Stock No. [ ] Warrant This Warrant (This “Warrant”) Is Issued as of August 4, 2020 (The “Initial Issuance Date”), by Athenex, Inc., a Delaware Corporation (The “Company”), to [ ] (“Purchaser” And, Together With Any Assignee(s) or Transferee(s), “Holder” or “Holders”)

from 8-K 12 pages Neither This Warrant Nor the Securities Issuable Upon Its Exercise or Conversion Have Been Registered Under the Securities Act of 1933, as Amended (The “Securities Act”), or Any Applicable State Securities Law and May Not Be Transferred Except (I) in Accordance With the Securities Act or Such Applicable State Securities Laws, Pursuant to Registration or Exemption Therefrom, or (II) Where, in the Opinion of Counsel, Registration Under the Securities Acts or Such Applicable State Securities Laws Is Not Required in Connection With Such Proposed Transfer

from 10-K 2 pages Description of Securities

from S-3ASR 27 pages Registration Rights Agreement

from S-3ASR 26 pages Registration Rights Agreement

from S-1 2 pages Zq|cert#|coy|cls|rgstry|acct#|transtype|run#|trans# Common Stock Par Value $0.001 Common Stock This Certificate Is Transferable in Canton, Ma, Jersey City, Nj and College Station, Tx Certificate Number Zq00000000 Shares * * 000000 ****************** * * * 000000 ***************** **** 000000 **************** ***** 000000 *************** ****** 000000 ************** Athenex, Inc. Incorporated Under the Laws of the State of Delaware This Certifies That