Athenex, Inc. Contracts & Agreements

Second Amendment to the Athenex, Inc. Amended and Restated 2017 Omnibus Incentive Plan (Filed With SEC on November 22, 2022)

Waiver to Credit and Guaranty Agreement, by and among Athenex, Inc., the Lenders party thereto, and Oaktree Fund Administration, LLC, as administrative agent for the Lenders,... (Filed With SEC on November 21, 2022)

FORM OF COMMON STOCK PURCHASE WARRANT Athenex, Inc. (Filed With SEC on November 3, 2022)

WARRANT AGENCY AGREEMENT (Filed With SEC on November 3, 2022)

Limited Waiver under Revenue Interest Purchase Agreement, by and among ATNX SPV, LLC, Athenex, Inc., and the Purchaser parties thereto, dated as of August 14, 2022 (Filed With SEC on August 18, 2022)

Sixth Amendment to Credit and Guaranty Agreement, by and among Athenex, Inc., the Lenders party thereto, and Oaktree Fund Administration, LLC, as administrative agent for the... (Filed With SEC on August 18, 2022)

Underwriting Agreement, dated August 10, 2022, by and between the Company and SVB Securities LLC (Filed With SEC on August 15, 2022)

Form of Pre-Funded Warrant (Filed With SEC on August 15, 2022)

Form of Salary Deduction and Stock Purchase Agreement (Filed With SEC on March 29, 2022)

First Supplemental Agreement to License Agreement by and among Athenex, Inc. and Chongqing Taihao Pharmaceutical Co. Ltd. and Guangzhou Xiangxue Pharmaceutical Co., Ltd., dated... (Filed With SEC on March 16, 2022)

Third Supplemental Agreement and Amendment to License Agreement by and among Athenex, Inc. and Chongqinq Guangzhou Xiangxue Pharmaceutical Co., Ltd., dated November 8, 2021 (Filed With SEC on March 16, 2022)

Second Amendment to Credit and Guaranty Agreement between Athenex and Oaktree, dated December 14, 2021 (Filed With SEC on March 16, 2022)

Third Amendment to Credit and Guaranty Agreement and First Amendment to the Warrants between Athenex and Oaktree, dated January 19, 2022 (Filed With SEC on March 16, 2022)

Second Amended and Restated Co-Development Agreement between Baylor College of Medicine and Kuur Therapeutics Limited, dated October 12, 2021 (Filed With SEC on March 16, 2022)

Second Amended and Restated Exclusive License and Option Agreement between Baylor College of Medicine and Kuur Therapeutics Limited, dated October 12, 2021 (Filed With SEC on March 16, 2022)

Employment Agreement between the Company and Joe Annoni, effective as of February 18, 2022 (Filed With SEC on February 22, 2022)

Purchase Agreement, by and between Athenex, Inc. and ImmunityBio, Inc. dated January 7, 2022 (Filed With SEC on January 12, 2022)

Consulting Agreement, dated as of January 1, 2022 between Athenex, Inc. and Simon Pedder (Filed With SEC on December 28, 2021)

Consulting Agreement, dated September 1, 2021, between Athenex, Inc. and Randoll Sze (Filed With SEC on September 3, 2021)

Sales Agreement, dated August 20, 2021, by and between the Company and SVB Leerink LLC as sales agent (Filed With SEC on August 20, 2021)

First Amendment and Limited Waiver to Credit and Guaranty Agreement between Athenex and Oaktree, dated June 3, 2021 (Filed With SEC on August 5, 2021)

Amended and Restated Co-Development Agreement between Baylor College of Medicine and Kuur Therapeutics Limited, dated February 28, 2020 (Filed With SEC on August 5, 2021)

Amended and Restated Exclusive License and Option Agreement between Baylor College of Medicine and Kuur Therapeutics Limited, dated February 28, 2020 (Filed With SEC on August 5, 2021)

Second Amendment to License Agreement dated as of February 15, 2021 by and between Athenex, Inc. and PharmaEssentia Corp (Filed With SEC on May 6, 2021)

Agreement and Plan of Merger, by and among Athenex, Inc., Athenex Pharmaceuticals LLC, Kuur Therapeutics, Inc., the holders of the shares of Series C Preferred Stock or Series C-1... (Filed With SEC on May 5, 2021)

Lock-Up Agreement between Athenex, Inc. and Touchstone Innovations Businesses LLP (IP Group), dated May 4, 2021 (Filed With SEC on May 5, 2021)

Lock-Up Agreement between Athenex, Inc. and each of the parties named therein, dated as of May 4, 2021 (Filed With SEC on May 5, 2021)

Form of Restricted Stock Award Agreement pursuant to the 2017 Omnibus Incentive Plan (Filed With SEC on March 1, 2021)

Asset Purchase and Sale Agreement dated as of September 1, 2020 by and between Athenex Pharmaceutical Division, LLC and Ingenus Pharmaceuticals, LLC (Filed With SEC on March 1, 2021)

Co-Marketing, Manufacture and Supply Agreement dated as of November 2, 2020 by and between Athenex Pharmaceutical Division, LLC and Ingenus Pharmaceuticals, LLC (Filed With SEC on March 1, 2021)

Manufacture and Supply Agreement dated as of January 15, 2021 by and between Athenex Pharmaceutical Division, LLC and Ingenus Pharmaceuticals, LLC (Filed With SEC on March 1, 2021)

Security Agreement dated as of August 4, 2020, by and between Athenex, Inc. and Sagard Healthcare Royalty Partners, LP (Filed With SEC on November 5, 2020)

Intercreditor Agreement dated as of August 4, 2020, by and among Oaktree Fund Administration, LLC, as administrative agent, and Sagard Healthcare Royalty Partners, LP, and as... (Filed With SEC on November 5, 2020)

Assignment and Assumption dated as of August 4, 2020, by and among Athenex, Inc, as the borrower, Sagard Healthcare Royalty Partners, LP, OPB SHRP Co-Invest Credit Limited and... (Filed With SEC on November 5, 2020)

Underwriting Agreement, dated September 9, 2020, by and between the Company and SVB Leerink LLC, RBC Capital Markets, LLC and Evercore Group L.L.C., as representatives of the... (Filed With SEC on September 10, 2020)

Security Agreement dated as of June 19, 2020, by and among Athenex, Inc., the subsidiary guarantors from time to time party thereto, the lenders from time to time party thereto,... (Filed With SEC on August 6, 2020)

Registration Rights Agreement by and among Athenex, Inc. and the purchasers named therein, dated as of June 19, 2020 (Filed With SEC on August 6, 2020)

Amended and Restated 2017 Omnibus Incentive Plan (Filed With SEC on August 6, 2020)

Second Supplemental Agreement to License Agreement dated December 12, 2019 by and among Athenex, Inc. and Chongqing Taihao Pharmaceutical Co. Ltd. and Guangzhou Xiangxue... (Filed With SEC on August 6, 2020)

Form of Warrant to Purchase Common Stock (Filed With SEC on August 6, 2020)

Revenue Interest Financing Agreement (Filed With SEC on August 6, 2020)

Form of Warrant to Purchase Common Stock (Filed With SEC on June 22, 2020)

Credit Agreement and Guaranty dated as of June 19, 2020, by and among Athenex, Inc., the subsidiary guarantors from time to time party thereto, the lenders from time to time party... (Filed With SEC on June 22, 2020)

Second Amendment to License Agreement by and between Athenex, Inc. and PharmaEssentia Corp., effective as of November 27, 2018 (Filed With SEC on May 7, 2020)

License Agreement by and between Kinex Pharmaceuticals, Inc. and PharmaEssentia Corp., effective as of December 16, 2013 (Filed With SEC on May 7, 2020)

License Agreement by and between Kinex Pharmaceuticals, LLC and Guangzhou Xiangxue New Drug Discovery and Development Company Limited, effective as of May 6, 2012 (Filed With SEC on May 7, 2020)

Description of Securities (Filed With SEC on March 2, 2020)

License Agreement between the Company and Guangzhou Xiangxue Pharmaceutical Co., Ltd. dated December 12, 2019 (Filed With SEC on December 16, 2019)

Share Purchase Agreement, by and among Athenex, Inc., M. Kingdon Offshore Master Fund, LP, Schonfeld Strategic 460 Fund LLC, Point72 Associates, LLC, J. Goldman Master Fund, L.P.,... (Filed With SEC on December 5, 2019)

Form of Registration Rights Agreement (Filed With SEC on December 5, 2019)

Supplemental Agreement to Athenex Pharmaceutical Base Project Located in the Chongqing Maliu Riverside Development Zone Agreement with Chongqing Maliu Riverside Development and... (Filed With SEC on August 7, 2019)

Amendment to Grant Disbursement Agreement by and between the New York State Urban Development Corporation d/b/a Empire State Development and Athenex, Inc (Filed With SEC on August 7, 2019)

Second Amendment to License and Development Agreement by and between Athenex, Inc., Almirall, S.A., and Aqua Pharmaceuticals LLC, dated as of June 18, 2019 (Filed With SEC on August 7, 2019)

Amendment No. 1 to Credit Agreement by and between Athenex, Inc. and Perceptive Advisors LLC, dated as of April 22, 2019 (Filed With SEC on August 7, 2019)

Amendment No. 2 to Credit Agreement by and between Athenex, Inc. and Perceptive Advisors LLC, dated as of August 5, 2019 (Filed With SEC on August 7, 2019)

First Amendment to Agreement by and between M+W U.S., Inc. and Athenex, Inc., effective as of March 27, 2018 (Filed With SEC on May 9, 2019)

Second Amendment to Agreement by and between M+W U.S., Inc. and Athenex, Inc., effective as of October 1, 2018 (Filed With SEC on May 9, 2019)

Share Purchase Agreement, by and among Athenex, Inc., Perceptive Life Sciences Master Fund, Ltd., venBio Select Fund LLC, OrbiMed Partners Master Fund Limited, and The Biotech... (Filed With SEC on May 6, 2019)

Form of Registration Rights Agreement (Filed With SEC on May 6, 2019)

Mutual Letter of Termination of the License Agreement by and between Kinex Pharmaceuticals, LLC and Hanmi Pharmaceutical Ltd., effective as of August 20, 2018 (Filed With SEC on March 11, 2019)

Fifth Amendment to License Agreement by and between Athenex, Inc. and Hanmi Pharmaceutical Co. Ltd., effective as of September 4, 2018 (Filed With SEC on March 11, 2019)

Second Amendment to License Agreement by and between Athenex, Inc. and PharmaEssentia Corp., effective as of November 27, 2018 (Filed With SEC on March 11, 2019)

License Agreement, dated as of December 30, 2018 by and between Athenex, Inc. and Chongqing Taihao Pharmaceutical Co. Ltd (Filed With SEC on January 3, 2019)

Sublicense Agreement, dated as of December 30, 2018 by and among Chongqing Taihao Pharmaceutical Co. Ltd., Chongqing Jingdong Junzhuo Pharmaceutical Co., Ltd., and Athenex, Inc (Filed With SEC on January 3, 2019)

First Amendment to License and Development Agreement by and between Athenex, Inc., Almirall, S.A., and Aqua Pharmaceuticals LLC, dated as of September 26, 2018 (Filed With SEC on November 14, 2018)

Letter Agreement by and between Athenex, Inc., Almirall, S.A. and Aqua Pharmaceuticals LLC, dated as of September 26, 2018 (Filed With SEC on November 14, 2018)

Employment Agreement between the Company and Randoll Sze, dated as of August 20, 2018 (Filed With SEC on August 20, 2018)

Registration Rights Agreement dated as of July 3, 2018 by and between Athenex, Inc. and Perceptive Life Sciences Master Fund, Ltd (Filed With SEC on August 14, 2018)

Stock Purchase Agreement, dated as of June 29, 2018 by and between Athenex, Inc. and Perceptive Life Sciences Master Fund, Ltd (Filed With SEC on July 2, 2018)

Senior Secured Term Loan Agreement, dated as of June 30, 2018, by and between Athenex, Inc. and Perceptive Advisors LLC (Filed With SEC on July 2, 2018)

License Agreement dated as of June 29, 2018, by and between Xiangxue Life Sciences Ltd. and Axis Therapeutics Limited (Filed With SEC on July 2, 2018)

License Agreement dated as of June 29, 2018, by and between Athenex Therapeutics Limited and Avalon Polytom (HK) Limited Pegtomarginase (Filed With SEC on July 2, 2018)

License and Supply Agreement dated as of June 29, 2018, by and between Athenex Therapeutics Limited and Avalon HepaPOC Limited Galactose Meter and Strip (Filed With SEC on July 2, 2018)

Transition Agreement by and between Athenex, Inc. and James Zukin dated April 27, 2018 (Filed With SEC on April 30, 2018)

License and Development Agreement by and between Athenex, Inc., Almirall, S.A. and Aqua Pharmaceuticals LLC., dated as of December 11, 2017 (Filed With SEC on March 26, 2018)

Form of Underwriting Agreement (Filed With SEC on January 22, 2018)

License and Development Agreement, dated as of December 11, 2017, by and between Athenex, Inc., Almirall, S.A. and Aqua Pharmaceuticals LLC (Filed With SEC on December 15, 2017)

CREDIT SUISSE SECURITIES (USA) LLC DEUTSCHE BANK SECURITIES INC. J.P. MORGAN SECURITIES LLC UNDERWRITING AGREEMENT ATHENEX, INC. [] Sharesof Common Stock Underwriting Agreement (Filed With SEC on June 2, 2017)

ATHENEX, INC. 2017OMNIBUS INCENTIVE PLAN (Filed With SEC on June 2, 2017)

ATHENEX, INC. 2017EMPLOYEE STOCK PURCHASE PLAN (Filed With SEC on June 2, 2017)

BINDING TERM SHEET FOR LICENSE dated May 5, 2017 by and between ATHENEXPHARMACEUTICAL DIVISION, LLC (Athenex) and GLAND PHARMA LIMITED (Gland) Definitions (Filed With SEC on June 2, 2017)

INDEMNIFICATION AGREEMENT (Filed With SEC on May 12, 2017)

KINEX PHARMACEUTICALS LLC FIRST AMENDED AND RESTATED 2004 COMMON UNIT OPTION PLAN (AS OF OCTOBER 1, 2012) (Filed With SEC on May 12, 2017)

KINEX PHARMACEUTICALS LLC FIRST AMENDED AND RESTATED 2007 COMMON UNIT OPTION PLAN (AS OF OCTOBER 1, 2012) (Filed With SEC on May 12, 2017)

KINEX PHARMACEUTICALS, INC. 2013 COMMON STOCK OPTION PLAN (Filed With SEC on May 12, 2017)

LICENSE AGREEMENT by andbetween HANMI PHARMACEUTICAL LTD. and KINEX PHARMACEUTICALS,LLC ORASCOVERY PROGRAM (Filed With SEC on May 12, 2017)

FIRST AMENDMENT TO LICENSE AGREEMENT (Filed With SEC on May 12, 2017)

SECOND AMENDMENT TO LICENSE AGREEMENT (Filed With SEC on May 12, 2017)

THIRD AMENDMENT TO LICENSE AGREEMENT (Filed With SEC on May 12, 2017)

FOURTH AMENDMENT TO LICENSE AGREEMENT (Filed With SEC on May 12, 2017)

LICENSE AGREEMENT by andbetween HANMI PHARMACEUTICAL CO., LTD. and KINEX THERAPEUTICS (HK)LIMITED and KINEXPHARMACEUTICALS, INC. (as guarantor) ON ORASCOVERY PROGRAM MAINLAND... (Filed With SEC on May 12, 2017)

LICENSE AGREEMENT by andbetween KINEX PHARMACEUTICALS, LLC and HANMI PHARMACEUTICAL LTD. (Filed With SEC on May 12, 2017)

LICENSE AGREEMENT by andbetween KINEX PHARMACEUTICALS, LLC and PHARMAESSENTIA CORP 8 December, 2011 (Filed With SEC on May 12, 2017)

FIRST AMENDMENT TO LICENSE AGREEMENT (Filed With SEC on May 12, 2017)

LICENSE AGREEMENT byand between KINEX PHARMACEUTICALS, INC. and PHARMAESSENTIACORP December 16, 2013 (Filed With SEC on May 12, 2017)

FIRST AMENDMENT TO LICENSE AGREEMENT (Filed With SEC on May 12, 2017)

LICENSE AGREEMENT by andbetween Kinex Pharmaceuticals, INC. and ZenRx Limited April 25, 2013 (Filed With SEC on May 12, 2017)

LICENSE AGREEMENT by andbetween KINEX PHARMACEUTICALS, LLC and GUANGZHOU XIANGXUE NEWDRUG DISCOVERY AND DEVELOPMENT COMPANY LIMITED May 6th, 2012 (Filed With SEC on May 12, 2017)

BINDING TERM SHEET FOR LICENSE dated August 1, 2016 by and between ATHENEXPHARMACEUTICAL DIVISION, LLC (Athenex) and GLAND PHARMA LIMITED (Gland) Definitions (Filed With SEC on May 12, 2017)

BINDING TERM SHEET FOR LICENSE dated August 26, 2016 by and between ATHENEXPHARMACEUTICAL DIVISION, LLC (Athenex) and GLAND PHARMA LIMITED (Gland) (together, the Parties, and each... (Filed With SEC on May 12, 2017)

BINDING TERM SHEET FOR LICENSE dated February 22, 2017 by and between ATHENEXPHARMACEUTICAL DIVISION, LLC (Athenex) and GLAND PHARMA LIMITED (Gland) Definitions (Filed With SEC on May 12, 2017)

JOINT VENTURE AGREEMENT (Filed With SEC on May 12, 2017)

ADDENDUM OF ADDITIONAL PRODUCT ADDED TO THE LIMITED LIABILITY COMPANY AGREEMENT OF PETERSON ATHENEX PHARMACEUTICALS, LLC DATED OCTOBER 4TH, 2016 November 29, 2016 (Filed With SEC on May 12, 2017)

LIMITED LIABILITY COMPANY AGREEMENT OF PETERSON ATHENEX PHARMACEUTICALS, LLC (Filed With SEC on May 12, 2017)

SERVICE AGREEMENT (Filed With SEC on May 12, 2017)

CLINICAL TRIAL COLLABORATION AND SUPPLY AGREEMENT (Filed With SEC on May 12, 2017)

AGREEMENT FOR MEDICALTECHNOLOGY RESEARCH, DEVELOPMENT, INNOVATION, AND COMMERCIALIZATION ALLIANCE (Filed With SEC on May 12, 2017)

FIRST AMENDMENT TOTHE AGREEMENT FOR MEDICAL TECHNOLOGY RESEARCH, DEVELOPMENT, INNOVATION AND COMMERCIALIZATION ALLIANCE (Filed With SEC on May 12, 2017)

SECOND AMENDMENT TOTHE AGREEMENT FOR MEDICAL TECHNOLOGY RESEARCH, DEVELOPMENT, INNOVATION AND COMMERCIALIZATION ALLIANCE (Filed With SEC on May 12, 2017)

FORT SCHUYLER MANAGEMENT CORPORATION as Landlord And KINEX PHARMACEUTICALS, INC. as Tenant SUBLEASEAGREEMENT Dated as of July 21, 2015 SUBLEASE AGREEMENT (Filed With SEC on May 12, 2017)

The Athenex Pharmaceutical Base Project Located in the Chongqing Maliu Riverside Development Zone Agreement ChongqingMaliu Riverside Development and Investment Co., Ltd. October... (Filed With SEC on May 12, 2017)

NANG KUANG PHARMACEUTICAL CO., LTD (Filed With SEC on May 12, 2017)

ASSET PURCHASE AGREEMENT between ATHENEX, INC. and AMPHASTAR PHARMACEUTICALS,INC. Dated as of February 1, 2017 TABLE OF CONTENTS (Filed With SEC on May 12, 2017)

EMPLOYMENT AGREEMENT Amended and Restated June 1, 2015 (Filed With SEC on May 12, 2017)

EMPLOYMENT AGREEMENT (Filed With SEC on May 12, 2017)

- 2 - (Filed With SEC on May 12, 2017)

FIRST AMENDMENT TO THE LETTER AGREEMENT BETWEEN ATHENEX, INC. AND FLINT D. BESECKER DATED DECEMBER 8, 2016 (Filed With SEC on May 12, 2017)

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Athenex, Inc. Contracts & Agreements