ATHENEX INC

CUSIP: 04685N103 Class: COM

Caption Management, LLC's Holding History (CIK: 0001706766)

Note: Option positions (PUT/CALL) are excluded.

Q4 2019
Shares 29,600 Value ($000) $452 Avg Close — Range —
Q3 2019
Shares 41,100 Value ($000) $500 Avg Close — Range —
Q2 2019
Shares 11,600 Value ($000) $229 Avg Close — Range —