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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K ( Mark One ) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ATHENEX , INC . ( Exact Name of Registrant as Specified in Its Charter ) Delaware State or other jurisdiction of incorporation or organization 1001 Main Street , Suite 600 Buffalo , NY United States ( Address of principal executive offices ) to Commission file number 001-38112 Title of Each Class Common Stock , par value $ 0.001 per share 43-1985966 ( I.R.S. Employer Identification No. ) ( 716 ) 427-2950 Registrant's telephone number , including area code Securities registered pursuant to Section 12 ( b ) of the Act : Trading Symbol ATNX Securities registered pursuant to section 12 ( g ) of the Act : None 14203 ( Zip Code ) Name of Exchange on Which Registered The Nasdaq Global Select Market Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes No Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes > No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( § 232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or emerging growth company . See the definitions of " large accelerated filer " , " accelerated filer " , " smaller reporting company " , and " emerging growth company " in Rule 12b - 2 of the Exchange Act . X Large Accelerated Filer Non - accelerated filer Accelerated filer Smaller reporting company Emerging growth company If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . | Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Act ) . Yes No The aggregate market value of common equity held by non - affiliates of the registrant calculated based on the closing price of $ 13.76 of the registrant's common stock as reported on The Nasdaq Global Market on June 30 , 2020 , the last business day of the registrant's most recently completed second fiscal quarter , was approximately $ 702 million . As of February 19 , 2021 , 93,454,700 shares of common stock of the registrant were outstanding . DOCUMENTS INCORPORATED BY REFERENCE Portions of the registrant's definitive proxy statement for its 2021 annual meeting of stockholders currently scheduled to be held on June 4 , 2021 are incorporated by reference into Part III Items 10 , 11 , 12 , 13 and 14 of this Form 10 - K .