Document:

EX-10.16

 Exhibit 10.16 

FOIA CONFIDENTIAL TREATMENT REQUESTED 

Confidential Materials omitted and filed separate with the Securities and Exchange Commission 

Triple asterisks denote omissions 
  

 
 SERVICE AGREEMENT 

This Service Agreement (this “Agreement”) is made as of this 9th day of August, 2016 by and between DOHMEN LIFE SCIENCE SERVICES,
LLC, a Wisconsin limited liability company (“DLSS”), and ATHENEX PHARMACEUTICAL DIVISION, LLC, an Illinois limited liability company (“Manufacturer”), 

RECITALS 
 DLSS is in the
business of providing a variety of logistics and related services to the pharmaceutical industry, including warehousing and shipment services, order-to-cash services, contract administration services, chargeback processing, sample drug distribution
and other services. Manufacturer desires to retain DLSS to provide certain of these services as more fully described herein. 
 Accordingly,
in consideration of the mutual covenants herein contained, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, 

IT IS HEREBY AGREED AS FOLLOWS: 

AGREEMENT 
 1. DEFINITIONS. For
purposes of this Agreement, the following words shall have the meanings set forth below: 
 (a) “Adjustment Notice” has the
meaning set forth in Section 3(f) hereof. 
 (b) “Customers” means those customers or distributees of Manufacturer to whom
Products are distributed by DLSS. 
 (c) “DLSS Standard Operating Procedures” means DLSS’s standard operating procedures, as
revised and changed by DLSS from time to time. 
 (d) “Force Majeure” means acts of God or the public enemy, earthquakes, fire,
flood, epidemic, civil insurrection or war, acts of terrorism, inability to procure raw materials, power or supplies, labor shortages or strife, and other conditions (other than financial difficulties) beyond the control of the involved party which
delay or prevent the rendition of such party’s performance hereunder. 

  

					
	Dohmen Life Science Services, LLC	  	1	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 (e) “Initial Delivery Date” means the date on which any Products are first received in
MSS facilities. 
 (f) “Laws” means all United States federal, state and local laws, statutes, rules, regulations, guidelines,
ordinances and orders. 
 (g) “Premises” means DLSS’s corporate office and its warehouse facilities located at 1560-A Baker
Avenue, Ontario, California 91761 and 4580 Mendenhall Road, Memphis, Tennessee 38141, or such other facilities as DLSS and Manufacturer may mutually agree. 

(h) “Products” means all of the pharmaceutical products manufactured, distributed or marketed by Manufacturer which Manufacturer
distributes or desires to distribute in the Territory. 
 (i) “Regulatory Agency” means any national, state or local regulatory
body or other government authority. 
 (j) “Replacement Cost” means Manufacturer’s Incremental, actual manufacturing cost to
replace Products lost or damaged 
 (k) “Term” shall have the meaning set forth in Section 8(a). 

(l) “Territory” means the United States of America, including its territories and possessions. 

2. OBLIGATIONS OF DLSS. During the Term, DLSS shall provide Manufacturer with the following services with respect to Products delivered to DLSS for
distribution in the Territory: 
 (a) Maintain the Premises and perform the warehousing, shipping and other services specified hereunder in
material compliance with (i) all Laws known by DLSS to be applicable to its business, including those of the U.S. Food and Drug Administration, Drug Enforcement Administration and state pharmaceutical boards, (ii) applicable DLSS
Standard Operating Procedures and (iii) any special operating procedures specified by Manufacturer, agreed to by DLSS and set forth on Exhibit A attached hereto and incorporated herein; provided, however, that DLSS shall not be
responsible for maintaining its Premises or performing services in compliance with any of the foregoing to the extent such failure arises from or is attributable to any failure by Manufacturer to comply with its obligations hereunder, 

(b) Receive, warehouse and, pursuant to Manufacturer’s instructions, ship Products from the Premises and provide standard reporting
associated therewith. 
 (c) Provide reverse distribution services in support of returned Product processing and Manufacturer’s Product
recall management. 
 (d) Provide order to cash services, including customer service, customer management, product maintenance, pricing
maintenance, order management, invoicing, reconciliation of remittance to invoice, cash application to Manufacturer lock box, accounts receivable and adjustments, and provide standard reporting associated therewith. 

  

					
	Dohmen Life Science Services, LLC	  	2	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 (e) Provide chargeback processing services, including maintenance of hardware and software
necessary to process chargebacks, maintenance of Manufacturer contracts (including membership eligibility, products, pricing and contract terms), processing and verification of each submitted chargeback line (including contract number, prime vendor,
customer, product, contract price, sale date, Wholesale Acquisition Cost (WAC)), necessary calculations, payments due, discrepancy reporting and submission of reconciliation reports to Manufacturer, and provide standard reporting associated
therewith. 
 (f) Provide the government price reporting and other services specified in the Government Program Pricing & Rebate
Administration Services section of Exhibit B attached hereto, in accordance with those agreements of Manufacturer with each of the Centers for Medicare & Medicaid Services (CMS), the Public Health Service (PHS), and the
Department of Veterans Affairs. 
 (g) Provide such additional services as Manufacturer and DLSS may separately agree in writing if
and to the extent, and in consideration of the fees and expenses, set forth on Exhibit B attached hereto and incorporated herein, or as mutually amended. 

3. OBLIGATIONS OF MANUFACTURER. During the Term, Manufacturer shall: 

(a) Deliver Products to the Premises specified by DLSS during DLSS’s normal business hours. 

(b) Properly mark, label and package all Products in accordance with all applicable laws and include a manifest showing sizes or specific
stock keeping units. 
 (c) Comply with all applicable laws to which Manufacturer is subject including, without limitation, those with
respect to the manufacture of Products, their safety, labeling, packaging, advertising, marketing and sale, pricing under government programs and, to the extent applicable, advance verification of distributees’ licensure or authorization to
receive and/or prescribe Products (or samples thereof). 
 (d) Provide DLSS on a timely basis with true and correct information necessary
for DLSS to perform its duties hereunder, including, without limitation, information regarding the Products, the name and address of the intended Customers, all contracts and pricing agreements, promotional policies and other information as may be
needed by DLSS in connection with its duties under Section 2, and validate in advance of shipment the distributees designated by Manufacturer to receive shipment of such Products as may be required for DLSS to comply with any obligations under
applicable Laws (including, without limitation, the Prescription Drug Marketing Act and regulations promulgated thereunder). DLSS shall be entitled to rely upon all such information provided without independent verification, shall have no liability
with respect to, and shall be indemnified and held harmless by Manufacturer from and against the inaccuracy or inadequacy of, such information. 

  

					
	Dohmen Life Science Services, LLC	  	3	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 (e) Utilize DLSS exclusively for the types of services to be provided under Section 2 for
all of Manufacturer’s requirements for such services with respect to all Products destined for delivery or delivered within the Territory. 

(f) Pay when due the fees and expenses for DLSS’s services rendered hereunder, as listed on Exhibit B, and as maybe hereafter
adjusted from time to time by DLSS by giving a written notice to Manufacturer (an “Adjustment Notice”), subject to Manufacturer’s right to terminate for certain rate increases as set forth at Section 8 hereof. Each Adjustment
Notice shall specify the effective date of the adjusted fees and expenses, which effective date (i) must be at least 60 days after the date the Adjustment Notice is given, (ii) may not occur during the first 12 months of the Term
and (iii) if the fees and expenses have been adjusted pursuant to a previously given Adjustment Notice, must be at least 12 months after the effective date specified in the immediately preceding Adjustment Notice. 

(g) As reflected in the Delegation of Authority attached hereto as Exhibit C, Manufacturer has delegated to DLSS the authority to
submit and, if required. to certify price reports submitted to CMS and the Department of Veterans Affairs and to satisfy any additional State reporting requirements (current and future) after Manufacturer has reviewed the price report and authorized
DLSS to submit that report. 
 4. COMMERCIAL TERMS. 

(a) Except for freight, all fees and expenses will be invoiced monthly. All fixed one time or periodic fees and expenses are payable in
advance, with payment due within 30 days from the date of invoice. All variable one time or periodic fees and expenses will be invoiced in arrears, with payment due within 30 days from the date of invoice (except for freight). 

(b) Freight charges will be invoiced weekly with payment due within 14 days from the date of invoice. 

(c) Payment will be deemed past due if not received by the due date, unless received after the due date with a timely postmark. If any amount
owed by Manufacturer to DLSS is not paid when due, a late payment charge of 1.5% of the amount past due will apply for each 30 day period or part thereof that the amount remains unpaid. 

5. LEGAL RELATIONSHIP; STANDARD OF CARE; LOSS LIMITATIONS. 

(a) Title to and ownership of Products delivered to DLSS by Manufacturer shall remain solely with Manufacturer. Manufacturer shall be solely
responsible for the care, custody and control of Products at all times prior to DLSS’s inbound receipt of such Products at the Premises and after tender of delivery of such Products at the Premises by DLSS to outbound carriers 

(b) The relationship between Manufacturer and DLSS hereunder is that of bailor and bailee, as specifically described and limited by the terms
of this Agreement. In performing its obligations hereunder, DLSS shall have no liability (whether by indemnification or otherwise, and regardless of whether any claim is based upon contract, in tort, common law principles or otherwise) to
Manufacturer except only for (i) DLSS’s breach of its obligations and agreements expressly contained herein or (ii) loss or damage caused by DLSS’s reckless or intentional misconduct. 

  

					
	Dohmen Life Science Services, LLC	  	4	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 (c) Notwithstanding anything to the contrary contained herein, in no event shall DLSS have
liability (whether by indemnification or otherwise) for: (i) any loss or damage attributable to events, circumstances or conditions which shall constitute a Force Majeure; or (ii) unexplained loss, mysterious disappearance (including
theft), misshipment, loss or shortage of Product disclosed upon the taking of an inventory, or other shrinkage of Product (collectively, “shrinkage”) to the extent that such annual shrinkage does not exceed ***%, of the aggregate annual
number of Product units handled by DLSS. 
 (d) Notwithstanding anything to the contrary contained herein, Manufacturer’s exclusive
remedy for any loss or damage to Products arising from this Agreement or DLSS’s services hereunder is recovery of the Replacement Cost of such Products lost or damaged. 

(e) Subject to Section 5(f) hereof, DLSS’s maximum liability to Manufacturer arising out of this Agreement or the performance of
DLSS’s services hereunder (including, without limitation, loss or damage to Products) shall not exceed: (i) during the first six (6) months of the Term, the sum of $***; and (ii) following such first 6-month period, the sum of
***, less any claims previously paid by DLSS. 
 (f) NEITHER DLSS NOR MANUFACTURER SHALL BE LIABLE (BY INDEMNIFICATION OR OTHERWISE) FOR
CONSEQUENTIAL (INCLUDING LOST PROFITS), INDIRECT, SPECIAL, PUNITIVE OR EXEMPLARY DAMAGES (WHETHER OR NOT CONTEMPLATED OR FORESEEABLE), WHETHER A CLAIM THEREFOR IS BROUGHT AT LAW OR IN EQUITY AND REGARDLESS OF WHETHER ANY CLAIM THEREFOR IS BASED UPON
CONTRACT, TORT OR OTHER PRINCIPLES. 
 (g) Manufacturer may select all freight carriers for the inbound and outbound transport of Products
If Manufacturer declines or fails to designate its preferred carriers, DLSS may select the carriers. In either case, even if MSS is listed as the applicable shipper on any bill of lading or other instrument, Manufacturer acknowledges that:
(i) DLSS is not responsible for the Products except during the time such Products are in the custody of DLSS at the Facilities; and (ii) Manufacturer’s sole recourse for freight loss, damage, injury or delay in the delivery of
Products tendered for delivery to a carrier (collectively, “Freight Claims”) is an action by Manufacturer against the applicable carrier, subject to all terms, conditions, claims procedures, and loss limitations applicable to such carrier
under applicable Laws, tariffs or agreements with such carrier. Manufacturer waives and releases DLSS from all Freight Claims against DLSS. 

(h) Manufacturer shall reimburse DLSS upon demand for all of the out-of-pocket costs and expenses (including, without limitation, reasonable
attorneys’ fees and other professional costs) and the time of DLSS employees at the rate of $*** per hour that are incurred by DLSS in connection with any of the following events or occurrences, except to the extent that a court of competent
jurisdiction finally determines that DLSS’s breach of its express obligations contained in this Agreement is the primary cause of such event or occurrence: (i) any inspection, investigation or inquiry by a regulatory authority attributable
to Manufacturer, its business, or the services hereunder; or (6) any court or regulatory authority directive, order, subpoena, interrogatory, demand, request for admission or other process of Law directed at DLSS attributable to Manufacturer,
its business, or the services hereunder. 

  

					
	Dohmen Life Science Services, LLC	  	5	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 6. INSURANCE; INDEMNITY. 

(a) Manufacturer shall maintain during the Term or as otherwise provided in Section 6(c) hereof the following insurance coverage: 

(i) Commercial general liability insurance, including products liability insurance on Manufacturer’s Products, which
insurance shall be fully sufficient (in terms of coverage and policy limits) to cover property loss or damage and bodily injury or death arising from the Products. Such insurance shall be written on an ISO occurrence form CG 00 01 12 04 (or a
substitute form providing equivalent coverage) and shall cover, among other things, bodily injury and property damage arising from products-completed operations and liability assumed under an insured contract
including Manufacturer’s contractual liability to indemnify DLSS under Section 6(d) hereof. The limits of such insurance shall not be less than $*** per occurrence. Such insurance shall name DLSS and its subsidiaries as additional insureds
using ISO additional insured endorsement CG 2015 0704 or a substitute providing equivalent coverage. This insurance shall apply as primary insurance with respect to any other insurance or self-insurance program. 

(ii) Fire and extended property insurance sufficient to cover the replacement value for all Products while in the possession
or under the control of DLSS. 
 Prior to the Initial Delivery Date and thereafter upon demand, Manufacturer shall promptly provide DLSS with insurance
certificates evidencing Manufacturer’s compliance with the foregoing insurance requirements. 
 (b) DLSS shall maintain during the Term
or as otherwise provided in Section 6(c) hereof the following insurance coverage: 
 (i) Warehouseman’s legal
liability insurance in the amount of at least $*** with respect to DLSS’s operations in Memphis, TN and $*** with respect to DLSS’s operations in Ontario, CA. Manufacturer acknowledges that such warehouseman’s legal liability
insurance also insures property in the possession of DLSS other than Products of Manufacturer. 
 (ii) Worker’s
Compensation insurance as required by law. 
 (iii) Commercial general liability insurance and umbrella insurance having a
combined limit of not less than $*** per occurrence and $*** annual aggregate. Such insurance shall be written on an ISO occurrence form CG 00 01 1204 (or a substitute for providing equivalent coverage). Prior to the Initial Delivery Date and
thereafter upon demand, DLSS promptly shall provide Manufacturer with insurance certificates evidencing DLSS’s compliance with the foregoing requirements. 

  

					
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	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 (c) All insurance required hereunder shall be with insurance companies rated “A” or
better by A. M. Best, and shall not have deductibles or self-insured retentions in excess of $50,000. If any insurance required hereunder of Manufacturer is provided on a claims-made basis, then said insurance shall be maintained in full force and
effect for at least five years after the expiration of this Agreement and any renewals hereunder. 
 (d) The parties hereto acknowledge that
DLSS has not had and will not have any role in the manufacture, branding, labeling, packaging, marketing or sale of Products and that, as between the parties, Manufacturer shall have the sole liability for any product liability or similar claims
(regardless of the legal theory upon which such claims may be brought) with respect to Products. Accordingly, Manufacturer indemnifies and agrees to defend and hold DLSS and its members, directors, officers, managers, employees and agents
(“DLSS Indemnitees”), harmless from any and all claims, damages (whether for bodily injury or death, third-party property damage or otherwise), demands, causes of action, losses, judgments, costs and expenses of any nature whatsoever,
including, without limitation, reasonable attorneys’ fees (collectively, “Claims”) caused by or attributable in whole or part to, or alleged to have been caused by or attributable in whole or part to: 

(i) Any defect(s) in the manufacture of any Product, inherent safety risks of any Product or dangerous side effects of any
Product; 
 (ii) The manufacturing, branding, labeling, packaging, marketing or sale of any Product; 

(iii) Marketing practices of Manufacturer, off-label usage of any Product or the promotion of off-label usage, fraud, criminal
or civil investigation, inspection or inquiry by or on behalf of any Regulatory Agency or other entity in connection with any Product, Manufacturer, its business or its representatives; 

(iv) Any actual or asserted violation of the Federal Food, Drug and Cosmetic Act or any other Law by virtue of which any
Product is alleged or determined to be adulterated, misbranded, mislabeled or otherwise not in full compliance with such Law; 

(v) Any actual or asserted infringement or violation of any patent, trademark, trade name, copyright or other intellectual or
proprietary rights of any third party with respect to any Product or information relating to any such Product; or 
 (vi)
DLSS’s use of or reliance upon any information, documents, direction or instruction provided, supplied or approved by Manufacturer or its representatives regarding any Product, Manufacturer, or its business. 

7. INSPECTION. Manufacturer has visited and physically inspected the Premises and observed the DLSS Standard Operating Procedures and the standard
practices and procedures  

  

					
	Dohmen Life Science Services, LLC	  	7	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 
employed by DLSS thereat. Manufacturer acknowledges that the Premises, the DLSS Standard Operating Procedures and such observed practices and procedures are acceptable to Manufacturer with
respect to the performance by DLSS of its services hereunder. Furthermore, during the Term, Manufacturer may, upon reasonable prior notice and during working hours, inspect the Premises and observe the DLSS Standard Operating Procedures and the
standard practices and procedures employed by DLSS in rendering its services hereunder. Such inspection may be conducted not more than one (1) time per annum and shall be conducted in a manner so as to not unreasonably disrupt normal warehouse
and other MSS operations. 
 8. TERM AND TERMINATION. 

(a) Unless sooner terminated as herein provided, the term of this Agreement (the “Term”) shall (i) be for an initial term
commencing on the date of this Agreement and ending 36 months following the Initial Delivery Date and (ii) thereafter automatically renew for successive 12 month periods, unless, at least 90 days prior to the expiration of the
initial or renewal term then in effect, Manufacturer or MS notifies the other party in writing of its intent not to renew. 
 (b) If DLSS
provides Manufacturer with an Adjustment Notice and if such Adjustment Notice specifies an increase in the aggregate fee rates from the fee rates then in effect that is more than the greater of the following: (i) ***% or (ii) ***,
Manufacturer may terminate the Term by giving DLSS written notice of termination within 30 days after the Adjustment Notice was given. Failure by Manufacturer to give such notice of termination within such 30-day period shall constitute
acceptance of the Adjustment Notice. If Manufacturer timely gives notice of termination, the Term shall terminate on the 60th day following the date the Adjustment Notice was given. “CPI Increase” means the percentage increase of the
CPI, as hereinafter defined, for the month last published immediately preceding the date the Adjustment Notice is given over the CPI published for the identical month of the immediately preceding year. “CPI” means the Consumer Price
Index—All Urban Consumers, U.S. City Average, All Items, (1982-84=100) published by the Bureau of Labor Statistics, United States Department of Labor, or any successor index thereto. 

(c) If DLSS or Manufacturer believes that the other party has breached this Agreement (other than a breach by Manufacturer of a payment
obligation) and desires to terminate the Term because of such breach, such party (“Aggrieved Party”) shall give written notice of such intent to the breaching party (“Breaching Party”) and shall grant the Breaching Party thirty
(30) days in which to remedy the cause for termination. During such period, the parties shall make a good-faith effort to assist each other to remedy the breach. If the breach is not remedied or waived by the end of such period, then the
Aggrieved Party may terminate the Term, effective as of the last day of such 30-day period. In the event of Manufacturer’s breach of any of its payment obligations under this Agreement, then DLSS may
terminate the Term by giving written notice thereof to Manufacturer. 
 (d) The (i) obligation of Manufacturer to pay fees and expenses
earned or incurred by DLSS prior to the expiration or effective date of termination of the Term and (ii) obligations of each party pursuant to Sections 4, 5, 6, 7, this Section 8(d), 8(e), 9, 10, 11 and 12 hereof, shall survive the
expiration or termination of the Term. 

  

					
	Dohmen Life Science Services, LLC	  	8	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 (e) Upon termination of the Term, and in consideration of the fees and expenses therefor
set forth on Exhibit B, DLSS and Manufacturer shall cooperate with each other for the removal of all of Products from the Premises to a location specified by Manufacturer. 

9. CONFIDENTIALITY. 
 (a) DLSS
shall not disclose (except as required in the performance of its services hereunder or as provided in this Section 9) or use for the direct or indirect benefit of any person, other than Manufacturer, any information regarding the Products or
Manufacturer’s business methods, policies, procedures, techniques, computer programs, research or development projects, trade secrets or inventions, names or addresses of Manufacturer’s customers, data concerning past, present or
prospective customers of Manufacturer, information concerning Manufacturer sales, shipments, costs or inventories, or any other information concerning the business operations of Manufacturer or Manufacturer’s customers (“Manufacturer
Information”) provided to DLSS or learned or acquired by DLSS while providing services under this Agreement. The fact that Manufacturer is a customer of DLSS is not Manufacturer Information. 

(b) Manufacturer shall not disclose or use for the direct or indirect benefit of any person, other than DLSS, any written or oral information
regarding DLSS’s business methods, policies, procedures, techniques, computer programs, research or development projects, trade secrets or inventions, names or addresses of DLSS’s customers, any data concerning past, present or prospective
customers of DLSS, information concerning DLSS’s business revenues, pricing policies or costs, the terms and conditions of this Agreement, or any other information concerning the business operations of MSS or its customers (the “DLSS
Information”) provided to Manufacturer or learned or acquired by Manufacturer while receiving services from DLSS under this Agreement. 

(c) The terms “Manufacturer Information” and “DLSS Information” do not include any: 

(i) Information that, at the time of disclosure, is in or, after disclosure by the disclosing party, becomes a part of the
public domain, other than by reason of breach of this Agreement; 
 (ii) Information that, prior to disclosure by the
disclosing party, the recipient party can demonstrate from written records was already within its possession from another source not under a contractual, fiduciary or other obligation of confidentiality to the disclosing party; or 

(iii) Information that, subsequent to disclosure, is obtained by the recipient party from a third party who is not prohibited
from disclosing such information by a contractual, fiduciary or other obligation owed to the disclosing party. 
 (d) DLSS may disclose
Manufacturer information, and Manufacturer may disclose DLSS Information, to their respective officers, employees, directors, consultants, professional advisors, agents and representatives (collectively, “Representatives”) who have a need
to know. Each Representative to whom DLSS discloses Manufacturer Information and to whom 

  

					
	Dohmen Life Science Services, LLC	  	9	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 
Manufacturer discloses DLSS Information shall be apprised by DLSS and Manufacturer, respectively, of the restrictions on disclosure and use thereof contained in this Section 9 and shall
agree (for the benefit of Manufacturer and DLSS, respectively) to be bound by the terms of this Section 9. Notwithstanding the foregoing, each party hereto shall be responsible and liable for any breach of this Section 9 by its
Representatives. 
 (e) If either DLSS (with respect to Manufacturer Information) or Manufacturer (with respect to DLSS Information) is
compelled to disclose the same by court order, subpoena, interrogatory or other legal process, such disclosure shall be permitted, provided that the recipient party shall promptly notify the disclosing party of the existence and terms of such legal
process and provide a copy thereof, and reasonably assist the disclosing party’s efforts to obtain a protective order or such other relief as may be available to prevent or limit such disclosure. 

(f) The confidentiality covenants of this Section 9 shall remain in effect during the Term and for a period of two years following the
expiration or termination thereof. 
 (g) Each of DLSS and Manufacturer acknowledges that its breach of this Section 9 will cause
irreparable harm to the other which cannot be adequately compensated by monetary damages. Accordingly, in the event of a breach or default under this Section 9 by a recipient party, the disclosing party shall be entitled to compel specific
performances by, or to obtain injunctive or other equitable relief against, the recipient party, without the necessity of posting bond or other surety, in addition to all other remedies available at law or in equity. 

10. TAXES. Except for income or franchise taxes payable by DLSS with respect to the fees payable to it hereunder, DLSS shall have no liability for any,
and Manufacturer shall bear all, property, ad valorem, inventory, sales, use or other taxes in connection with the Products or the services rendered by DLSS hereunder. 

11. NON-SOLICITATION. 
 (a) During
the Term of this Agreement and for a period of twelve (12) months thereafter, Manufacturer shall not, directly or indirectly, in any manner solicit or induce for employment, or hire or engage the services of, any employee of DLSS or its
Affiliates who performed any work under this Agreement. A general advertisement or notice of a job listing or opening or other similar general publication of a job search or availability to fill employment positions, including on the internet, shall
not be construed as a solicitation or inducement for the purposes of this Section 11(a) so long as the circumstances indicate that the same was not targeted or directed at DLSS employees. 

(b) If Manufacturer breaches Section 11(a), Manufacturer shall pay to DLSS a sum equal to one year’s base salary that was payable by
DLSS to that employee. plus the recruitment costs incurred by DLSS in replacing such individual. 
 12. MISCELLANEOUS. 

(a) Amendment; Entire Agreement. This Agreement, the attached Exhibits and any Adjustment Notice constitute the entire
understanding of the parties with respect to the  

  

					
	Dohmen Life Science Services, LLC	  	10	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 
subject matter hereof, and supersede any and all previous or contemporaneous agreements, statements and understandings, whether written or oral The terms and conditions of this Agreement shall
prevail over any contradictory terms or conditions contained in any purchase order, acceptance, acknowledgment, standard forms used by the parties in performing this Agreement or other correspondence. This Agreement may not be amended, supplemented
or otherwise modified except by an Adjustment Notice or an instrument in writing executed by both of the parties hereto. 
 (b)
Assignment. This Agreement shall inure to the benefit of the parties and their successors and assigns. The rights and obligations under this Agreement may not be assigned or delegated to a third party by either party, by operation of
law or otherwise, without obtaining the prior written consent of the other party. Notwithstanding the foregoing, either party may assign and delegate, without obtaining the consent of the other party, all of the assignor’s rights and/or
obligations of this Agreement (i) to one or more of its parent, subsidiaries or affiliated entities or (ii) in connection with the sale or transfer of all or substantially all of the assignor’s business to which this Agreement
pertains; provided, however, that any such assignee shall have executed and delivered to the other party hereto an agreement, in form and substance reasonably satisfactory to the other party hereto, assuming all of the assignor’s obligations
hereunder. No such assignment, delegation or assumption, however, shall relieve the assignor of its obligations hereunder. 

(c) Force Majeure. Each party to this Agreement will be relieved from the performance of its obligations hereunder to the
extent performance is delayed or prevented by Force Majeure, and such relief will continue for so long as the condition constituting the Force Majeure prevails; provided, however, that (i) if such Force Majeure continues for more than seven
consecutive days. either party hereto may elect to terminate this Agreement by giving written notice thereof to the other party and (ii) the foregoing shall not relieve Manufacturer of its obligation to timely pay amounts due under this
Agreement. 
 (d) Status as an Authorized Distributor of Record. Both DLSS and Manufacturer agree and
acknowledge that (i) the Agreement evidences the parties’ “ongoing relationship” (as that term is defined by the Food and Drug Administration in 21 CFR § 203.3(u), as amended) for the distribution of Manufacturer’s
products; and (ii) DLSS is at all times during the Term an “authorized distributor of record” (as that term is defined by the Food and Drug Administration in 21 CFR § 203.3(b), as amended) for Products. DLSS’s status as
an authorized distributor of record shall be reflected in Manufacturer’s list of authorized distributors of record (“List”) at all times during the Term. Manufacturer shall comply fully with 21 CFR § 203.50(d), as amended
with respect to maintaining (and granting access to) the List. The parties hereto understand and agree that the Agreement may be made available to the FDA upon the FDA’s request. 

(e) Notice. Any notice provided for herein shall be given in writing and shall be deemed given to a party at the earlier
of (i) when actually delivered to such party or (ii) when mailed to such party by registered or certified U.S. Mail (return receipt requested) or sent by overnight courier, confirmed by receipt, and addressed to such party at the
address designated below for such party (or to such other address for such party as such party may have substituted by notice pursuant to this Section): 
  

					
		  	If to DLSS:	  	 Dohmen Life Science Services, LLC
 190 N.
Milwaukee Street
 Milwaukee, WI 53202
 ATTN: General
Counsel

  

					
	Dohmen Life Science Services, LLC	  	11	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

					
		  	If to Manufacturer:	  	 Athenex Pharmaceutical Division, LLC
 10 N.
Martingale Road, Suite 230
 Schaumburg, IL 60173
 ATTN: Jeffrey
Yordon

 (f) Attorneys’ Fees. The prevailing party in any suit, proceeding or other action
brought against the other party to enforce the terms of this Agreement or any rights or obligations hereunder shall be entitled to receive reimbursement of its reasonable costs, expenses and disbursements (including court costs and attorneys’
fees) incurred in connection with such enforcement. 
 (g) Independent Contractors. The relationship of the
parties is that of independent contractors. Neither party has the authority to bind the other, except only to the extent expressly set forth herein. Nothing herein is intended to create or shall be construed as creating between the parties the
relationship of joint venturers, partners, employer/employee or principal and agent. 
 (h) Liability of DLSS.
The obligations of DLSS hereunder are its sole obligations, and no member, manager or employee or agent of DLSS shall have any individual liability therefor. 

(i) Governing Law; Construction. This Agreement shall be governed by the internal laws of the state of New York, and
shall be construed without giving effect to any rule of construction concerning the party responsible for the drafting thereof. 
 IN
WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date first set forth above. 
  

			
	DOHMEN LIFE SCIENCE SERVICES, LLC
		
	By:	 	 
	Name:	 	 
	Its:	 	 
	
	ATHENEX PHARMACEUTICAL DIVISION, LLC
		
	By:	 	 
	Name:	 	 
	Its:	 	 

  

					
	Dohmen Life Science Services, LLC	  	12	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 EXHIBIT A 

MANUFACTURER’S SPECIAL OPERATIONAL REQUIREMENTS 

  

					
	Dohmen Life Science Services, LLC	  	13	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 EXHIBIT B 

FEE AND EXPENSE SCHEDULE 

SUPPLY CHAIN PRICING 

Pricing for the Supply Chain Services category covers the following: 

 

	 	•	 	Facilities Provisioning & Management 

  

	 	•	 	Distribution Operations 

  

	 	•	 	Specialty Logistics 

  

	 	•	 	Transportation and Logistics 

 SERVICE: Facilities Provisioning & Management, Distribution
Operations and Specialty Logistics 
  

									
	 Fee Category
	  	 Activity
	  	Fee	 	 Unit

	 Implementation
	  	Initial Program set-up	  	$***	 	One-time
	  	Additional product / NDC set-up subsequent to program initiation	  	$***	 	One-time per NDC
	 Subscription
	  	Provision of systems and resources to distribute products	  	$***	 	Per month
	 Transactional
	  	Receiving & Movement	  	CRT/Non-Scheduled	  	$***	 	Per pallet
	  	  	CRT/Scheduled	  	$***	 	Per pallet
	  	  	Vault	  	$***	 	Per pallet
	  	  	Refrigerated	  	$***	 	Per pallet
	  	Storage	  	CRT/Non-Scheduled	  	$***	 	Per location / month
	  	  	CRT/Scheduled	  	$***	 	Per location / month
	  	  	Vault	  	$***	 	Per location / month
	  	  	Refrigerated	  	$***	 	Per location / month
	  	Pick/Pack	  	CRT/Non-scheduled	  	$***	 	Per unit, case or inner pack
	  	  	  	$***	 	Per pallet
	  	  	CRT/Scheduled	  	$***	 	Per unit, case or inner pack
	  	  	  	$***	 	Per pallet
	  	  	Vault	  	$***	 	Per unit, case or inner pack
	  	  	  	$***	 	Per pallet
	  	  	Refrigerated	  	$***	 	Per unit, case or inner pack
	  	  	  	$***	 	Per pallet
	  	Same-day shipment of order received after 2 p.m. cut-off	  	$***	 	Per order shipped
	  	Product Returns	  	$***	 	Per unit
	  	Quarantine release and Control	  	$***	 	Per pallet
	 Optional Ad

hoc Services
	  	FDA Hold Processing	  	Receiving	  	$***	 	Per pallet
	  	  	Storage	  	$***	 	Per location / month
	  	Hazmat / International Processing	  	$***	 	Per shipping container
	  	Temp Tale Log Quarantine Release and	  	$***	 	Per temp tale logged
	  	Product Destruction	  	+***%	 	Cost plus
	  	Client Specific Supplies	  	+***%	 	Cost plus
	  	Physical Inventory	  	***	 	Per labor hour
	  	Product Recall Support	  	***	 	Per labor hour

 Service: Transportation and Logistics 
  

							
	 Fee Category
	  	 Activity
	  	Fee	 	Unit
	 Subscription
	  	Access to Dohmen Transportation & Logistics Service Programs	  	$***	 	Per month
	 Transactional
	  	Transportation and Logistics transactions	  	***	 	

  

					
	Dohmen Life Science Services, LLC	  	14	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 FINANCIAL SERVICES PRICING 

Pricing for the Financial Services category covers the following: 

 

	 	•	 	Order Management 

  

	 	•	 	Receivables Management 

  

	 	•	 	Discount Management (Chargebacks) 

  

	 	•	 	Government Programs, including Medicaid 

  

	 	•	 	General Ledger (GL) and Accounting 

 SERVICE: Order Management 

 

							
	 Fee Category
	  	 Activity
	  	 Fee
	  	 Unit

	Implementation	  	Initial Program Set-Up	  	$***	  	One-time
	Subscription	  	Provision of systems and resources to enter and manage orders	  	$***	  	Per month
	  	Fee per NDC	  	$***	  	Per NDC per month
	Transactional	  	EDI order entered	  	$***	  	Per order
	  	Manual Order Entry or Intervention	  	$***	  	Per order
	  	RGA issued	  	$***	  	Per RGA
	  	Adjusted, amended, or cancelled order	  	$***	  	Per order
	Optional Ad hoc Services	  	State Sales Tax Management	  	$***	  	Per month
	  	Client Order Review	  	$***	  	Per month

 SERVICE: Receivables Management 
  

							
	 Fee Category
	  	 Activity
	  	 Fee
	  	 Unit

	Implementation	  	Initial Program Set-Up (additional to Order Management set-up)	  	$***	  	One-time
	  	Change Bank or Lockbox	  	$***	  	One-time per charge
	Subscription	  	Provision of systems and resources to create and manage invoicing, collections and cash application	  	$***	  	Per month
	  	Fee per NDC	  	$***	  	Per NDC per month
	Transactional	  	Manually Created Credit/Debit Memo	  	$***	  	Per memo
	  	Automatically Created Credit/Debit Memo	  	$***	  	Per memo
	  	Invoicing, collections and cash application – standard invoice	  	$***	  	Per invoice created
	  	Invoicing, collections and cash application for Direct Customer (physician, clinic or hospital)	  	$***	  	Per invoice created
	Optional Ad Hoc Services	  	Memo/Cash Application if client does not have Lock Box	  	$***	  	Per month
	  	Fee/Rebate Invoice Validation	  	$***	  	Per month
	  	Fee/Rebate Invoice Monitoring	  	$***	  	Per month

 SERVICE: Discount Management (Chargebacks) 
  

							
	 Fee Category
	  	 Activity
	  	 Fee
	  	 Unit

	Implementation	  	Initial Program Set-Up	  	$***	  	One-time
	Subscription	  	Provision of systems and resources to process chargebacks	  	$***	  	Per month
	  	Fee per NDC	  	$***	  	Per NDC per month
	Transactional	  	EDI Chargeback	  	$***	  	Per chargeback line
	  	Manually Entered Chargeback	  	$***	  	Per chargeback line

  

					
	Dohmen Life Science Services, LLC	  	15	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 MARKET ACCESS & GOVERNMENT PROGRAMS PRICING 

Pricing for this category covers the following: 

SERVICE: Medicaid Claims 
  

							
	 Fee Category
	  	 Activity
	  	 Fee
	  	 Unit

	Implementation	  	Initial Program Set-Up	  	$***	  	One-time
	Subscription	  	Provision of systems and resources to validate and process State Medicaid claims	  	$***	  	Per month
	  	Fee per NDC	  	$***	  	Per NDC per month
	Transactional	  	Admin fee report	  	$***	  	Per report
	  	Quarterly Medicaid summary report	  	$***	  	Per report

 SERVICE: Government Pricing 

							
	 Fee Category
	  	 Activity
	  	 Fee
	  	 Unit

	Implementation	  	Initial Program Set-Up	  	$***	  	One-time
	Subscription	  	Provision of systems and resources to calculate government pricing	  	$***	  	Per month
	  	Fee per NDC	  	$***	  	Per NDC per month
	 Optional Ad

hoc Services
	  	Quarterly restatement of single price calculation by labeler code	  	$***	  	Per labeler code per quarter
	  	Tricare Contract and Rebate Administration	  	$***	  	Per quarter

 SERVICE: Market Access & Government Program Consulting 

 

							
	 Fee Category
	  	 Resource
	  	 Fee
	  	 Unit

	Consulting Services	  	Vice President	  	$***	  	Per hour
	  	Director	  	$***	  	Per hour
	  	Manager	  	$***	  	Per hour
	  	Analyst	  	$***	  	Per hour

 TECHNOLOGY SERVICES PRICING 

Pricing for Technology Services covers the following: 
  

	 	•	 	Business continuity 

  

	 	•	 	EDI mailboxes 

  

	 	•	 	IT Tech support 

 SERVICE: Technology Services 

 

							
	 Fee Category
	  	 Activity
	  	 Fee
	  	 Unit

	Implementation	  	N/A – included in each individual service module	  	N/A	  	
	Subscription	  	Business continuity – network architecture, hardware and software maintenance and access to Dohmen reporting systems	  	$***	  	Per month
	 Optional Ad

hoc Services
	  	EDI mailbox	  	$***	  	Per kchar
	  	IT Technical Support	  	$***	  	Per labor hour

  

					
	Dohmen Life Science Services, LLC	  	16	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 LOGISTICS PROGRAM PRICING 

Pricing based on utilization of Dohmen Life Science Services preferred carriers exclusively. Parcel Express and Ground discounts are off the current published
rates in effect on date of shipment. Manufacturer will reimburse Dohmen at ***% for (i) all specialty equipment, LTL, import international forwarding/containerized shipments, spot market shipments, transportation insurance (if applicable), and
detention charges (if applicable), Accessorial (if applicable). Carrier price increases will be passed to the client at an increase equal to Dohmen. 

LTL PRICING: 
  

	 	•	 	LTL rates based on CzarLite rate base 

  

	 	•	 	FAK 55 for class 50-70 

  

	 	•	 	All other classes move at actual rate 

 GROUND & HOME PARCEL SERVICE 

 

			
	 Carrier
	  	 Discount

	 LTL
	  	***%

  

			
	 	  	 Package Type

	 Continental US Ground
	  	3P, IB, OB, RB

  

															
	 Package Weight
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8

	 1 to 5 lbs.
	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%
	 6 to 10 lbs.
	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%
	 11 to 15 lbs.
	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%
	 16 to 150 lbs.
	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%
	 Minimum Reduction Amount: Zone 2, 1 lb.
	  	$***	  	$***	  	$***	  	$***	  	$***	  	$***	  	$***

 Minimum Package Charge: For each package, client agrees to pay the greater of the net package charge based 

on Client’s Discounts, if any, for a given service or the minimum net package charge as defined above. 

 

					
	 Service
	  	Package Type	 
	 Home Delivery
	  	 	3P, OB	  

  

															
	 Package Weight
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8

	 1 to 5 lbs
	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%
	 6 to 10 lbs
	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%
	 11 to 15 lbs
	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%
	 16 to 150 lbs
	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%	  	***%
	 Minimum Reduction Amount: Zone 2, 1 Pound
	  	$***	  	$***	  	$***	  	$***	  	$***	  	$***	  	$***

 Minimum Package Charge: For each package, client agrees to pay the greater of the net package charge based 

on Client’s Discounts, if any, for a given service or the minimum net package charge as defined above. 

  

					
	Dohmen Life Science Services, LLC	  	17	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 AIR PARCEL SERVICE 

Priority Overnight Envelope 
  

																					
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8
	  	9-10	 	11-12	 	13-16
	 Envelope %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	 	***	 	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	 	***	 	***

 Unless otherwise stated, the minimum charge is the list rate for the minimum billable weight in zone 2. 

Priority Overnight Pak 
  

																					
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8
	  	 9-10
	  	 11-12
	  	 13-16

	 Pak 1-2 lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Unless otherwise stated, the minimum charge is the list rate for the minimum billable weight in zone 2. 

Priority Overnight 
  

																					
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8
	  	 9-10
	  	 11-12
	  	 13-16

	 1+ lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Unless otherwise stated, the minimum charge is the list rate for the minimum billable weight in zone 2. 

Standard Overnight Envelope 
  

																			
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8
	  	 9
	  	 13-16

	 Envelope %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Unless otherwise stated, the minimum charge is the list rate for the minimum billable weight in zone 2. 

Standard Overnight Pak 
  

																			
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8
	  	 9-10
	  	 13-16

	 Envelope %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Unless otherwise stated, the minimum charge is the list rate for the minimum billable weight in zone 2. 

Standard Overnight 
  

																			
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8
	  	 9
	  	 13-16

	 1+ lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Unless otherwise stated, the minimum charge is the list rate for the minimum billable weight in zone 2. 

2 Day 
  

																			
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8
	  	 9-10
	  	 11-16

	 Envelope %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 1+ lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Unless otherwise stated, the minimum charge is the list rate for the minimum billable weight in zone 2. 

Express Saver 
  

															
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8

	 1+ lbs %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Unless otherwise stated, the minimum charge is the list rate for the minimum billable weight in zone 2. 

  

					
	Dohmen Life Science Services, LLC	  	18	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 1 Day Freight Air 
  

																					
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8
	  	 9-10
	  	 11-12
	  	 13-16

	 % of base
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 2 Day Freight Air 
  

																					
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8
	  	 9-10
	  	 11-12
	  	 13-16

	 % of base
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 3 Day Freight Air 
  

															
	 Zones
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8

	 % of base
	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 INTERNATIONAL EXPORT 

International Priority Envelop—Export 
  

																									
	 Zones
	  	 A
	  	 B
	  	 C
	  	 D
	  	 E
	  	 F
	  	 G
	  	 H
	  	 I
	  	 J
	  	 K-O
	  	 PR

	 Envelope %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	

 Minimum charges are based upon the International Service Minimum Charge Tables. 

International Priority Pak—Export 
  

																									
	 Zones
	  	 A
	  	 B
	  	 C
	  	 D
	  	 E
	  	 F
	  	 G
	  	 H
	  	 I
	  	 J
	  	 K-O
	  	 PR

	 Pak 1-2 lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	

 Minimum charges are based upon the International Service Minimum Charge Tables. 

International Priority—Export 
  

																									
	 Zones
	  	 A
	  	 B
	  	 C
	  	 D
	  	 E
	  	 F
	  	 G
	  	 H
	  	 I
	  	 J
	  	 K-O
	  	 PR

	 1-99 lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 100-154 lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	

 Minimum charges are based upon the International Service Minimum Charge Tables. 

International Priority Heavyweight—Export 
  

																							
	 Zones
	  	 A
	  	 B
	  	 C
	  	 D
	  	 E
	  	 F
	  	 G
	  	 H
	  	 I
	  	 J
	  	 K-O

	 155+ lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Minimum charges are based upon the International Service Minimum Charge Tables. 

International Economy—Export 
  

																											
	 Zones
	  	 A
	  	 B
	  	 C
	  	 D
	  	 E
	  	 F
	  	 G
	  	 H
	  	 I
	  	 J
	  	 K
	  	 L-O
	  	 PR

	 1-99 lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 100-154 lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Minimum charges are based upon the International Service Minimum Charge Tables. 

  

					
	Dohmen Life Science Services, LLC	  	19	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 International Economy Heavyweight—Export 

 

																											
	 Zones
	  	 A
	  	 B
	  	 C
	  	 D
	  	 E
	  	 F
	  	 G
	  	 H
	  	 I
	  	 J
	  	 K
	  	 L
	  	 M-O

	 155+ lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum Reduction Amount
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Minimum charges are based upon the International Service Minimum Charge Tables. 

International Priority Freight (DTD, DTA, ATD, ATA)—Export 
  

																											
	 Zones
	  	 A
	  	 B
	  	 C
	  	 D
	  	 E
	  	 F
	  	 G
	  	 H
	  	 I
	  	 J
	  	 K
	  	 L-O
	  	 PR

	 155+ lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 International Economy Freight (DTD, DTA, ATD, ATA)—Export 

 

																									
	 Zones
	  	 A
	  	 B
	  	 C
	  	 D
	  	 E
	  	 F
	  	 G
	  	 H
	  	 I
	  	 J
	  	 K-O
	  	 PR

	 151+ lbs. %
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***
	 Minimum
	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***	  	***

 Unless otherwise stated, the minimum charges applied to the International Freight Services are the published minimum as per
the carriers service guide. 
 In relation to cargo claims for loss or damage, LTL shipments will receive a release value of $*** per
pound when Dohmen’s contracted carriers are used. In addition, courier shipments (via FedEx, UPS, etc.) will be insured for cost of goods or $100.00 per carton, whichever is less. 

Dohmen will assess a $*** fee per international shipment of the document preparation. 

INTERNATIONAL IMPORT 
 International Import
Freight—Priority & Economy 
  

																											
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	 Minimum Reduction Amount
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	 Parcel % Discounts 1-154 lbs.
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	Dohmen Life Science Services, LLC	  	20	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

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	Dohmen Life Science Services, LLC	  	21	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.

 EXHIBIT C 

DELEGATION OF AUTHORITY TO FILE AND CERTIFY PRICE REPORTS 

Athenex Pharmaceutical Division, LLC and Dohmen Life Science Services, LLC (“DLSS”) are parties to a Service Agreement dated as of August 9,
2016 (“Agreement”). In accordance with the terms of the Agreement, and effective as of the date of the Agreement, Athenex Pharmaceutical Division, LLC hereby delegates to DLSS the authority to submit and, if required, to certify price
reports submitted to CMS and the Department of Veterans Affairs and to satisfy any additional State reporting requirements (current and future) after Athenex Pharmaceutical Division, LLC has reviewed the price report and authorized DLSS to submit
that report. The following is a list of the individuals at Athenex Pharmaceutical Division, LLC authorized to approve the price reports: 
  

					
	Name	 		  	Title
	 	 		  	 
	 	 		  	 
	 	 		  	 
	 	 		  	 
	 	 		  	 

  
  
  

			
	ATHENEX PHARMACEUTICAL DIVISION, LLC
		
	By:	 	 
		
	Title:	 	 
		 	(CEO, CFO or individual with equivalent authority)

  

					
	Dohmen Life Science Services, LLC	  	22	  	Confidential Information
	*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed separately with the Commission.EX-10.17

 Exhibit 10.17 

FOIA CONFIDENTIAL TREATMENT REQUESTED 

Confidential Materials omitted and filed separate with the Securities and Exchange Commission 

Triple asterisks denote omissions 

CLINICAL TRIAL COLLABORATION AND SUPPLY AGREEMENT 

This CLINICAL TRIAL COLLABORATION AND SUPPLY AGREEMENT (this “Agreement”), made as of October 24, 2016 (the “Effective
Date”), is by and between Athenex, Inc., also known as Kinex Pharmaceuticals, Inc. (“Athenex”), a Delaware corporation having a place of business at 1001 Main Street, Suite 600 Buffalo, New York, and Eli Lilly and Company,
having a place of business at Lilly Corporate Center, Indianapolis, Indiana 46285 (“Lilly Parent”) and ImClone LLC, having a place of business at 450 East 29th Street 12th Floor, New York, NY 10016 (“ImClone”,
and together with Lilly Parent, “Lilly”. Athenex and Lilly are each referred to herein individually as “Party” and collectively “Parties”. 

RECITALS 
 A. Athenex is developing the
Athenex Compound (as defined below) for the treatment of certain tumor types. 
 B. Lilly is developing the Lilly Compound (as defined below) for the
treatment of certain tumor types. 
 C. Athenex desires to sponsor a clinical trial in which the Lilly Compound and the Athenex Compound would be dosed
concurrently or in combination. 
 D. Athenex and Lilly, consistent with the terms of this Agreement, desire to collaborate as more fully described herein,
including by providing the Athenex Compound and the Lilly Compound for the Study (as defined below). 
 NOW, THEREFORE, in consideration of
the premises and of the following mutual promises, covenants and conditions, the Parties, intending to be legally bound, mutually agree as follows: 
  

	1.	Definitions. 

 For all purposes of this Agreement, the capitalized terms defined in this Article 1
and throughout this Agreement shall have the meanings herein specified. 
 1.1 “Adverse Event (AE)” means any untoward
medical occurrence in a patient or clinical investigation subject administered a pharmaceutical product and which does not necessarily have to have a causal relationship with this treatment. Also known as an Adverse Experience. 

1.2 “Affiliate” means, with respect to either Party, a firm, corporation or other entity which directly or indirectly owns or
controls said Party, or is owned or controlled by said Party, or is under common ownership or control with said Party. The word “control” means (i) the direct or indirect ownership of fifty percent (50%) or more of the
outstanding voting securities of a legal entity, or (ii) possession, directly or indirectly, of the power to direct the management or 

  
 1 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 
policies of a legal entity, whether through the ownership of voting securities, contract rights, voting rights, corporate governance or otherwise. 

1.3 “Agreement” means this agreement, as amended by the Parties from time to time, and as set forth in the preamble. 

1.4 “Applicable Law” means all federal, state, local, national and regional statutes, laws, rules, regulations and directives
applicable to a particular activity hereunder, including performance of clinical trials, medical treatment and the processing and protection of personal and medical data, that may be in effect from time to time, including those promulgated by the
United States Food and Drug Administration (“FDA”), national regulatory authorities, the European Medicines Agency (“EMA”) and any successor agency to the FDA or EMA or any agency or authority performing some or all
of the functions of the FDA or EMA in any jurisdiction outside the United States or the European Union (each a “Regulatory Authority” and collectively, “Regulatory Authorities”), and including without limitation
cGMP and GCP (each as defined below); all data protection laws, regulations, and requirements, such as those specified in the EU Data Protection Directive and the General Data Protection Regulation, and the United States Health Insurance Portability
and Accountability Act of 1996, as amended, and its associated regulations (“HIPAA”); export control and economic sanctions regulations which prohibit the shipment of United States-origin products and technology to certain
restricted countries, entities and individuals; anti-bribery and anti-corruption laws pertaining to interactions with government agents, officials and representatives; laws and regulations governing payments to healthcare providers; and any United
States or other country’s or jurisdiction’s successor or replacement statutes, laws, rules, regulations and directives relating to the foregoing. 

1.5 “Athenex” has the meaning set forth in the preamble. 

1.6 “Athenex Compound” means oraxol, a small molecule oral formulation of a taxane, paclitaxel, excluding however, any
generic version of oraxol other than a generic version owned or controlled by Athenex or its Affiliate. 
 1.7 “Business
Day” means any day other than a Saturday, Sunday or any public holiday in the country where the applicable obligations are to be performed. 

1.8 “Calendar Quarter” means a three-month period beginning on January, April, July or October 1st. 

1.9 “Calendar Year” means a one-year period beginning on January 1st and ending on December 31st. 

1.10 “cGMP” means the current Good Manufacturing Practices officially published and interpreted by EMA, FDA, WHO and other
applicable Regulatory Authorities that may be in effect from time to time and are applicable to the Manufacture of the Compounds. 
 1.11
“Clinical Data” means all data (including raw data) and results generated under the Study and includes Sample Testing Results. 

  
 2 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 1.12 “Quality Agreement” means a written agreement that documents the
responsibilities and quality expectations between Lilly and any internal or external collaboration partner, supplier, contract manufacturer or service. 

1.13 “CMC” means Chemistry Manufacturing and Controls. 

1.14 “Compounds” means the Athenex Compound and the Lilly Compound. A “Compound” means either the Athenex
Compound or the Lilly Compound, as applicable. 
 1.15 “Combination” means the use or method of using the Athenex Compound
and the Lilly Compound in concomitant or sequential administration. 
 1.16 “Confidential Information” means any
information, Know-How or other proprietary information or materials furnished to one Party by the other Party pursuant to this Agreement, except to the extent that such information or materials: (a) was already known to the receiving Party,
other than under an obligation of confidentiality, at the time of disclosure by the other Party, as demonstrated by competent evidence; (b) was generally available to the public or otherwise part of the public domain at the time of its
disclosure to the receiving Party; (c) became generally available to the public or otherwise part of the public domain after its disclosure and other than through any act or omission of the receiving Party in breach of this Agreement;
(d) was disclosed to the receiving Party by a Third Party who had no obligation to the disclosing Party not to disclose such information to others; or (e) was subsequently developed by the receiving Party without use of the Confidential
Information, as demonstrated by competent evidence. 
 1.17 “CTA” means “Clinical Trial Application” means
a document used to request authorization from a Regulatory Authority to begin testing an experimental compound/drug in patients. 
 1.18
“Disposition Package” has the meaning set forth in Section 8.7.1. 
 1.19 “Dispute” has the meaning
set forth in Section 21.1. 
 1.20 “Effective Date” has the meaning set forth in the preamble. 

1.21 “EMA” has the meaning set forth in the definition of Applicable Law. 

1.22 “FDA” has the meaning set forth in the definition of Applicable Law. 

1.23 “cGCP” means the current Good Clinical Practices officially published by EMA, FDA and the International Conference on
Harmonisation of Technical Requirements for Registration of Pharmaceuticals for Human Use (ICH) that may be in effect from time to time and are applicable to the testing of the Compounds. 

1.24 “Government Official” means: (i) any officer or employee of: (a) a government, or any department or agency
thereof; (b) a government-owned or controlled company, institution, or other entity, including a government-owned hospital or university; or 

  
 3 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 
(c) a public international organization (such as the United Nations, the International Monetary Fund, the International Committee of the Red Cross, and the World Health Organization), or any
department or agency thereof; (ii) any political party or party official or candidate for public or political party office; and (iii) any person acting in an official capacity on behalf of any of the foregoing. 

1.25 “HIPAA” has the meaning set forth in the definition of Applicable Law. 

1.26 “IND” means the Investigational New Drug Application filed or to be filed with the FDA as described in Title 21 of
the U.S. Code of Federal Regulations, Part 312, and the equivalent application in the jurisdictions outside the United States, including an “Investigational Medicinal Product Dossier” filed or to be filed with the Regulatory
Authorities in the European Union. 
 1.27 “Inventions” means all inventions and discoveries which are made or conceived in
the performance of the Study and/or which are made or conceived by a Party through use of the Clinical Data. 
 1.28 “Internal
Compliance Codes” shall mean a Party’s internal policies and procedures intended to ensure that a Party complies with Applicable Laws, Party Specific Regulations, and such Party’s internal ethical, medical and similar standards.

 1.29 “Compliance” shall mean the adherence by the Parties in all material respects to all Applicable Laws and Party
Specific Regulations, in each case with respect to the activities to be conducted under this Agreement. 
 1.30 “Party Specific
Regulations” shall mean all judgments, decrees, orders or similar decisions issued by any Governmental Authority specific to a Party, and all consent decrees, corporate integrity agreements, or other agreements or undertakings of any kind
by a Party with any Governmental Authority, in each case as the same may be in effect from time to time and applicable to a Party’s activities contemplated by this Agreement. 

1.31 “Jointly Owned Invention” has the meaning set forth in Section 10.1.1. 

1.32 “Joint Patent Application” has the meaning set forth in Section 10.1.2. 

1.33 “Joint Patent” means a patent that issues from a Joint Patent Application. 

1.34 “Know-How” means any proprietary invention, innovation, improvement, development, discovery, computer program, device,
trade secret, method, know-how, process, technique or the like, including manufacturing, use, process, structural, operational and other data and information, whether or not written or otherwise fixed in any form or medium, regardless of the media
on which contained and whether or not patentable or copyrightable, that is not generally known or otherwise in the public domain. 
 1.35
“Liability” has the meaning set forth in Section 14.2.1. 

  
 4 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 1.36 “Lilly” has the meaning set forth in the preamble. 

1.37 “Lilly Compound” means ramucirumab, excluding, however, any generic version of ramucirumab other than a generic version
owned or controlled by Lilly or its Affiliate. 
 1.38 “Manufacture,” “Manufactured,” or
“Manufacturing” means all stages of the manufacture of a Compound, including planning, purchasing, manufacture, processing, compounding, storage, filling, packaging, waste disposal, labeling, leafleting, testing, quality assurance,
sample retention, stability testing, release, dispatch and supply, as applicable. 
 1.39 “Manufacturer’s Release” or
“Release” has the meaning ascribed to such term in the Quality Agreement. 
 1.40 “Manufacturing Site”
means the facilities where a Compound is Manufactured. 
 1.41 “Party” has the meaning set forth in the preamble. 

1.42 “Protocol” means the written documentation that describes the Study and sets forth specific activities to be performed
as part of the Study conduct, a summary of which is attached hereto as Appendix A. 
 1.43 “Regulatory Approvals” means any
and all permissions (other than the Manufacturing approvals) required to be obtained from Regulatory Authorities and any other competent authority for the development, registration, importation, use (including in clinical trials), distribution, sale
and marketing of a Compound in the United States, Europe or other applicable jurisdictions for use in humans, including any pricing or reimbursement approvals. 

1.44 “Regulatory Authorities” has the meaning set forth in the definition of Applicable Law. 

1.45 “Related Agreements” means the Pharmacovigilance Agreement and the Clinical Quality Agreement. 

1.46 “Specifications” means, with respect to a given Compound, the set of requirements for such Compound as set forth in the
Clinical Quality Agreement. 
 1.47 “Study” means the study entitled “A Phase Ib study of Oraxol in combination with
Ramucirumab in patients with Gastric, Gastro-esophageal, or Esophageal Cancers.” 
 1.48 “Study Completion” has the
meaning set forth in Section 3.5. 
 1.49 “Territory” means worldwide. 

1.50 “Third Party” means any person or entity other than Lilly, Athenex or their respective Affiliates. 

  
 5 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

	2.	Scope of the Agreement. 

 2.1 Each Party shall contribute to the Study such resources as
are necessary to fulfill its obligations set forth in this Agreement. 
 2.2 Each Party agrees to act in good faith in performing its
obligations under this Agreement and each Related Agreement, and shall notify the other Party as promptly as possible in the event of any Manufacturing delay that is likely to adversely affect supply of its Compound as contemplated by this
Agreement. 
 2.3 Representations and Warranties. 

2.3.1 Lilly agrees to Manufacture and supply the Lilly Compound for purposes of the Study as set forth in Article 8, and Lilly hereby
represents and warrants to Athenex that, at the time of Delivery of the Lilly Compound, such Lilly Compound shall have been Manufactured and supplied in compliance with: (i) the Specifications for the Lilly Compound; and (ii) all
Applicable Law, including cGMP and health, safety and environmental protections. 
 2.3.2 Without limiting the foregoing, each Party is
responsible for obtaining all regulatory approvals (including facility licenses) that are required to Manufacture its Compound in accordance with Applicable Law (provided that for clarity, Athenex shall be responsible for obtaining Regulatory
Approvals for the Study as set forth in Section 3.3). 
 2.4 Each Party shall have the right to subcontract any portion of its
obligations hereunder: (i) to its own Affiliates, without the other Party’s written consent; or (ii) to third parties, provided that with respect to third parties that are directly involved in the conduct of the clinical trial that is
subject of the Study, the Parties have approved (in a written document) the use of such third parties in the performance of such activities, and provided further that no consent shall be necessary for either Party’s delegation to or use of
contract research organizations or other third parties that are already conducting clinical trials of such Party’s Compound and are set forth in the Protocol as performing such Study activities. In any event, each Party shall remain solely and
fully liable for the performance of its subcontractors. Each Party shall ensure that each of its subcontractors performs its obligations pursuant to the terms of this Agreement, including the Appendices attached hereto. Each Party shall use
reasonable efforts to obtain and maintain copies of documents relating to the obligations performed by such subcontractors that are held by or under the control of such subcontractors and that are required to be provided to the other Party under
this Agreement. 
 2.5 This Agreement does not create any obligation on the part of Athenex to provide the Athenex Compound for any
activities other than the Study, nor does it create any obligation on the part of Lilly to provide the Lilly Compound for any activities other than the Study. 

2.6 Nothing in this Agreement shall (i) prohibit either Party from performing clinical studies other than the Study relating to its own
Compound, either individually or in combination with any other compound or product, in any therapeutic area, or (ii) create an exclusive relationship between the Parties with respect to any Compound. 

  
 6 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

	3.	Conduct of the Study. 

 3.1 Athenex shall act as the sponsor of the Study and shall hold
the IND/CTA relating to the Study; provided, however, that in no event shall Athenex file a separate IND/CTA for the Study unless required by Regulatory Authorities to do so. If a Regulatory Authority requests a separate IND/CTA for the Study the
Parties will meet and mutually agree on an approach to address such requirement. 
 3.2 Athenex shall ensure that the Study is performed in
accordance with this Agreement, the Protocol and all Applicable Law, including GCP. 
 3.3 Athenex shall ensure that all directions from any
Regulatory Authority and/or ethics committee with jurisdiction over the Study are followed. Further, Athenex shall ensure that all Regulatory Approvals from any Regulatory Authority and/or ethics committee with jurisdiction over the Study are
obtained prior to initiating performance of the Study. Athenex shall participate in and lead all discussions with any Regulatory Authority regarding the Study, provided, however, that Lilly shall have the right (but no obligation) to participate in
any discussions with a Regulatory Authority, and prior review and approval of any written communications with a Regulatory Authorty, regarding matters related to the Lilly Compound. 

3.4 Athenex shall maintain reports and all related documentation (paper or electronic versions as applicable) in good scientific manner and in
compliance with Applicable Law. Athenex shall provide any Study information and documentation reasonably requested to enable Lilly to (i) comply with any of its legal and regulatory obligations, or any request by any Regulatory Authority, in
each case, to the extent related to the Study or such the Lilly Compound, (ii) satisfy any contractual obligation to a subcontractor engaged pursuant to Section 2.4 hereof, and (iii) to determine whether the Study has been performed
by Athenex in accordance with this Agreement. 
 3.5 Athenex shall ensure that all patient authorizations and consents, and all consents
from other data subjects, for the processing, use and disclosure of their data and the Clinical Data, required under HIPAA, the EU Data Protection Directive, EU General Data Protection Regulation, and any other similar Applicable Law in connection
with the Study, permit the use and sharing of the Clinical Data as set forth in this Agreement, including the sharing of Clinical Data with Lilly. 

3.6 All Clinical Data, including raw data and results, generated under this Agreement, as well as the protocol(s), analyses, plans and any
other documentation prepared by one or more of the Parties under this Agreement specifically for use in connection with the Study and related to the Lilly Compound, shall be jointly owned by Lilly and Athenex. 

3.7 Project Managers. Each Party shall designate a project manager (the “Project Manager”) who shall be
responsible for implementing and coordinating activities, and facilitating the exchange of scientific information between the Parties with respect to the Study. The Athenex Project Manager shall provide regular updates in writing to the Lilly
Project Manager, no less frequently than twice yearly, which update shall contain information about 

  
 7 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 
overall Study progress, recruitment status, interim analysis (if results are available), final analysis and other information relevant to the conduct of the Study. 

3.7.1 Each Party shall appoint a supply chain representative to hold telephone discussions at a mutually agreed-upon frequency to review the
quantities of Lilly Compound needed for the Study (in accordance with Appendix B) and any other supply chain issues that may arise during the Study. 

3.8 Athenex shall provide Lilly with (i) an electronic draft of the final study report for Lilly to provide comments to Athenex within
thirty (30) days of receipt of such draft final study report and (ii) the final version of the final study report promptly following Study Completion. Athenex shall consider in good faith any comments provided by Lilly on the draft of the
final study report. “Study Completion” shall be deemed to occur upon lock of the Study database. 
 3.9 Notwithstanding
anything in this Agreement to the contrary, each Party acknowledges and agrees that the other Party may have present or future business activities or opportunities, including business activities or opportunities with Third Parties, involving similar
products, programs, technologies or processes. Accordingly, each Party acknowledges and agrees that nothing in this Agreement shall be construed as a representation or inference that the other Party will not develop for itself, or enter into
business relationships with other Third Parties regarding, any products, programs, studies (including combination studies), technologies or processes that are similar to or that may compete with the Combination or any other product, program,
technology or process provided that the Clinical Data, Jointly Owned Inventions, and Confidential Information are used or disclosed in connection therewith consistent with and not in violation of Sections 3.3, 9.1 or 10 of this Agreement. 

3.10 Nothing in this Agreement shall prohibit or restrict a Party from licensing, assigning or otherwise transferring to an Affiliate or Third
Party its Compound and the related Clinical Data, Confidential Information, Sample Testing Results or Jointly Owned Inventions; provided, however, that in the case of any such license, assignment or transfer, the licensee, assignee or transferee
shall agree in writing to be bound by the terms of this Agreement. 
  

	4.	Protocol and Related Documents. 

 4.1 A summary of the initial Protocol, entitled “A
phase Ib study of Oraxol in combination with Ramucirumab in patients with Gastric, Gastro-esophageal, or Esophageal Cancers” has been agreed to by the Parties as of the Effective Date, and is attached as Appendix A. The final Protocol must be
accepted by both Parties. Athenex shall have the final decision regarding the contents of the Protocol; provided, however, that any material changes to the Protocol (other than relating solely to the Athenex Compound), and any changes (whether or
not material) relating to the Lilly Compound, shall require Lilly’s prior written consent. Any such proposed changes will be sent in writing to Lilly’s Project Manager. Lilly will provide such consent, or a written explanation for why such
consent is being withheld, within fifteen (15) Business Days of receiving a copy of Athenex’s requested changes; provided that if Lilly fails to provide such written explanation within such 15 Business Day period, then Lilly shall be
deemed to have consented to such change or changes. Athenex will provide a copy of the final approved protocol and any subsequent protocol amendments. 

  
 8 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

	5.	Safety and Regulatory Reporting. 

 Athenex will be solely responsible for compliance with
all Applicable Law pertaining to safety reporting for the Study and related activities. The Parties will execute a Pharmacovigilance Agreement within ninety (90) days following the Effective Date of this Agreement or prior to the initiation of
the Trial. The Pharmacovigilance Agreement will ensure the exchange of relevant safety data and Adverse Event reporting within appropriate timeframes and in appropriate format to enable the Parties to fulfill local and international regulatory
reporting obligations and to facilitate appropriate safety reviews. Each Party’s right to audit the other Party as it relates to pharmacovigilance activities shall be set forth in the Pharmacovigilance Agreement. 

In the event of a conflict between this Agreement and the Pharmacovigilance Agreement, where the conflict relates to a term governing the exchange of safety
data or Adverse Event reporting, the terms of the Pharmacovigilance Agreement shall control. 
  

	6.	Term and Termination. 

 6.1 The term of this Agreement shall commence on the Effective
Date and shall continue in full force and effect until completion of all of the obligations of the Parties hereunder or until terminated by either Party pursuant to this Article 6. 

6.2 In the event that Lilly reasonably and in good faith believes that the Lilly Compound is being used in the Study in an unsafe manner and
notifies Athenex in writing of the grounds for such belief, and Athenex fails to promptly incorporate (subject to approval by applicable Regulatory Authorities or Institutional Review Boards) changes into the Protocol reasonably requested by Lilly
to address such issue or to otherwise reasonably and in good faith address such issue, Lilly may terminate this Agreement and the supply of the Lilly Compound effective upon written notice to Athenex. 

6.3 Either Party may terminate this Agreement if the other Party commits a material breach of this Agreement, and such material breach
continues for thirty (30) days after receipt of written notice thereof from the non-breaching Party; provided that if such material breach cannot reasonably be cured within thirty (30) days, the breaching Party shall be given a reasonable
period of time to cure such breach. 
 6.4 If either Party determines in good faith, based on a review of the Clinical Data or other
Study-related Know-How or other information, that the Study may unreasonably affect patient safety, such Party shall promptly notify the other Party of such determination. The Party receiving such notice may propose modifications to the Study to
address the safety issue identified by the other Party and, if the notifying Party agrees, shall act to immediately implement such modifications; provided, however, that if the notifying Party, in its sole discretion, believes that there is imminent
danger to patients, such Party need not wait for the other Party to propose modifications and may instead terminate this Agreement immediately upon written notice to such other Party. Furthermore, if the notifying Party, in its sole discretion,
believes that any modifications proposed by the other Party will not resolve the patient safety issue; such Party may terminate this Agreement effective upon written notice to such other Party. 

  
 9 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 6.5 Either Party may terminate this Agreement immediately upon written notice to the other Party
in the event that any Regulatory Authority takes any action, or raises any objection, that prevents the terminating Party from supplying its Compound for purposes of the Study. Additionally, either Party shall have the right to terminate this
Agreement immediately upon written notice to the other Party in the event that it determines in its sole discretion to discontinue development of its Compound, for medical, scientific, legal or other reasons. 

6.6 In the event that this Agreement is terminated, Athenex shall, at Lilly’s sole discretion, promptly either return or destroy all
unused Lilly Compound pursuant to Lilly’s instructions. If Lilly requests that Athenex destroy the unused Lilly Compound, Athenex shall provide written certification of such destruction. 

6.7 Either Party shall be entitled to terminate this Agreement immediately upon written notice to the other Party, if such other Party fails
to perform any of its obligations under Section 13.3 or breaches any representation or warranty contained in Section 13.3. Subject to Section 6.11, the non-terminating Party shall have no claim against the terminating Party for
compensation for any loss of whatever nature by virtue of the termination of this Agreement in accordance with this Section 6.7. 
 6.8
The provisions of this Section 6.8 and Sections 3.6 (other than the first sentence thereof), 3.7, 3.9, 6.6, 6.7 (other than the first sentence thereof), 6.9, 6.10, 6.11, 12.2, 12.3, 12.4, 12.5, 14.2 (Indemnification), 14.3 (Limitation of
Liability), and Articles 1 (Definitions), 5 (Safety and Regulatory Reporting), 7 (Costs of Study), 9 (Confidentiality), 10 (Intellectual Property), 11 (Reprints; Rights of Cross-Reference), 12 (Press Releases and Publications), 20 (No
Additional Obligations), 21 (Dispute Resolution and Jurisdiction), 22 (Notices), 23 (Relationship of the Parties) and 25 (Construction) shall survive the expiration or termination of this Agreement. 

6.9 Termination of this Agreement shall be without prejudice to any claim or right of action of either Party against the other Party for any
prior breach of this Agreement. 
 6.10 Upon termination of this Agreement, each Party and its Affiliates shall promptly return to the other
Party or destroy any Confidential Information of the other Party (other than Clinical Data, Sample Testing Results and Inventions) furnished to the receiving Party by the other Party, except that the receiving Party shall have the right to retain
one copy for record-keeping purposes. 
  

	7.	Costs of the Study. 

 The Parties agree that (i) Lilly shall provide the Lilly
Compound for use in the Study, as described in Article 8 below, at no cost to Athenex; and (ii) Athenex shall bear all other costs associated with the conduct of the Study. Anydoses of Lilly Compound provided under this Agreement
constitute free goods not contingent upon any purchase requirement(s). For the avoidance of doubt, Athenex will not be required to reimburse Lilly for any costs or expenses incurred by Lilly or its Affiliates in connection with the Study and Lilly
will not be required to reimburse Athenex for any costs or expenses incurred by Athenex or its Affiliates in connection with the Study. 

  
 10 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

	8.	Supply and Use of the Compounds. 

 8.1 Lilly will supply, or cause to be supplied, the
Lilly Compound as set forth in Appendix B. The Parties shall enter into a “Quality Agreement” that shall address and govern issues related to labeling, packaging and the quality of clinical drug supply to be supplied by the Parties
for use in the Study prior to shipping material. 
 8.2 Athenex shall (i) use the Lilly Compound solely for purposes of performing the
Study; (ii) not use the Lilly Compound in any manner inconsistent with this Agreement or for any commercial purpose; and (iii) use, store, transport, handle and dispose of the Lilly Compound in compliance with Applicable Law and the
Clinical Quality Agreement. Athenex shall not reverse engineer, reverse compile, disassemble or otherwise attempt to derive the composition or underlying information, structure or ideas of the Lilly Compound, and in particular shall not analyze the
Lilly Compound by physical, chemical or biochemical means except as necessary to perform its obligations under the Quality Agreement. 
 8.3
Lilly may make changes from time to time to its Compound or the manufacturing thereof. 
  

	9.	Confidentiality. 

 9.1 Lilly and Athenex agree to hold in confidence any Confidential
Information of the other Party, and neither Party shall use Confidential Information of the other Party except for the performance of the Study and for permitted uses otherwise stated in this Agreement. Neither Party shall, without the prior written
permission of the other Party, disclose any Confidential Information of the other Party to any Third Party except to the extent disclosure (i) is required by Applicable Law; (ii) is pursuant to the terms of this Agreement; or (iii) is
necessary for the conduct of the Study, and in each case ((i) through (iii)) provided that the disclosing Party shall provide reasonable advance notice to the other Party before making such disclosure. For the avoidance of doubt, Athenex may,
without Lilly’s consent, disclose Confidential Information to clinical trial sites and clinical trial investigators performing the Study, the data safety monitoring and advisory board relating to the Study, and Regulatory Authorities working
with Athenex on the Study, in each case to the extent necessary for the performance of the Study and provided that such persons (other than governmental entities) are bound by an obligation of confidentiality at least as stringent as the obligations
contained herein. 
 9.2 Notwithstanding the foregoing, Inventions and Clinical Data that constitute Confidential Information and are
jointly owned by the Parties shall constitute the Confidential Information of both Parties and 
 (a) Lilly shall have the right to
(i) use jointly owned Confidential Information in connection with its independent development, commercialization or other exploitation of any proprietary Lilly compound including the Lilly Compound (alone or in combination with the Athenex
Compound and/or any other pharmaceutical agent) without the consent of, or any obligation to account to, Athenex; and (ii) disclose such Confidential Information to Third Parties consistent with Articles 10, 11 and 12. For clarity, Lilly
retains the right to conduct additional studies and clinical trials (i.e., studies other than the Study) involving the Lilly 

  
 11 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 
Compound, either alone or with a Third Party, and such additional studies or clinical trials shall not be subject to the terms and conditions of this Agreement. 

(b) Athenex shall have the right to (i) use jointly owned Confidential Information in connection with its independent development,
commercialization or other exploitation of any proprietary Athenex compound including the Athenex Compound (alone or in combination with the Lilly Compound and/or any other pharmaceutical agent) without the consent of, or any obligation to account
to, Lilly; and (ii) disclose such Confidential Information to Third Parties consistent with Articles 10, 11 and 12. For clarity, Athenex retains the right to conduct additional studies and clinical trials (i.e., studies other than the
Study) involving the Athenex Compound, either alone or with a Third Party, and such additional studies or clinical trials shall not be subject to the terms and conditions of this Agreement. 

9.3 Athenex may use and disclose to Third Parties any Athenex solely owned Confidential Information for any purpose without obligation or
accounting to Lilly. Lilly may use and disclose to Third Parties any Lilly solely owned Confidential Information for any purpose without obligation or accounting to Athenex. 

9.4 Each party agrees that with respect to its performance of all activities under this Agreement, it shall undertake appropriate physical,
technical and administrative controls in order to protect personally identifiable data and prevent the unauthorized access to or disclosure of such personally identifiable data and that its processing of all personally identifiable data, including
the Clinical Data, shall be in accordance with all data protection and privacy laws, rules and regulations and Applicable Law. 
  

	10.	Intellectual Property. 

 10.1 Joint Ownership and Prosecution. 

10.1.1 Subject to Sections 10.2 and 10.3, all rights to all Inventions relating to or covering the combined use of the Lilly Compound and
the Athenex Compound (each a “Jointly Owned Invention”) shall belong jointly to Lilly and Athenex. For those countries where a specific license is required for a joint owner of a Jointly Owned Invention to practice such Jointly
Owned Invention in such countries, (i) Athenex hereby grants to Lilly a perpetual, irrevocable, non-exclusive, worldwide, royalty-free, fully paid-up license, transferable and sublicensable, under Athenex’s right, title and interest in and
to all Jointly Owned Inventions to use such Inventions and (ii) Lilly hereby grants to Athenex a perpetual, irrevocable, non-exclusive, worldwide, royalty-free, fully paid-up license, transferable and sublicensable, under Lilly’s right,
title and interest in and to all Jointly Owned Inventions to use such Inventions. For clarity, the terms of this Agreement do not provide Lilly or Athenex with any rights, title or interest or any license to the other Party’s background
intellectual property except as necessary to conduct the Study and as expressly set forth in Section 10.4. Each Party shall have the right to freely exploit each Jointly Owned Invention, both within and outside the scope of the Study, without
accounting to or any other obligation to the other Party, and each Party may grant licenses (with a right to sublicense) to Third Parties under such Party’s interest in each Jointly Owned Invention. 

  
 12 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 10.1.2 As needed following the Effective Date, patent representatives of each of the Parties
shall meet (in person or by telephone) to discuss the patenting strategy for any Jointly Owned Inventions which may arise. In particular, the Parties shall discuss which Party will file a patent application (including any provisional, substitution,
divisional, continuation, continuation in part, reissue, renewal, reexamination, extension, supplementary protection certificate and the like) in respect of any Jointly Owned Invention (each, a “Joint Patent Application”) and
whether the Parties wish to appoint Joint Patent Counsel. In any event, the Parties shall consult and reasonably cooperate with one another in the preparation, filing, prosecution (including prosecution strategy) and maintenance of such patent
application and shall equally share the expenses associated with the Joint Patent Applications. In the event that one Party (the “Filing Party”) wishes to file a patent application for a Jointly Owned Invention and the other Party
(the “Non-filing Party”) does not want to file any patent application for such Jointly Owned Invention or does not want to file in a particular country, the Non-filing Party shall execute such documents and perform such acts at the
Filing Party’s expense as may be reasonably necessary to effect an assignment of such Jointly Owned Invention to the Filing Party (in such country or all countries, as applicable) in a timely manner to allow the Filing Party to prosecute such
patent application. Likewise, if a Party (the “Opting-out Party”) wishes to discontinue the prosecution and maintenance of a Joint Patent Application, the other Party, at its sole option (the “Continuing Party”),
may continue such prosecution and maintenance. In such event, the Opting-out Party shall execute such documents and perform such acts at the Continuing Party’s expense as may be reasonably necessary to effect an assignment of such Joint Patent
Application to the Continuing Party (in such country or all countries, as applicable) in a timely manner to allow the Continuing Party to prosecute and maintain such patent application. Any Joint Patent Application or Jointly Owned Invention so
assigned shall thereafter be owned solely by the Continuing Party or Filing Party (as applicable), and any patent claiming such Jointly Owned Invention in the applicable country or countries any such patent, when issued, shall not be a Joint Patent.
The Filing Party or Continuing Party (as applicable) hereby grants to the Opting-out Party or Non-Filing Party (as applicable) a perpetual, irrevocable, non-exclusive, royalty-free fully paid-up license under such solely owned patent applications
and patents to practice any Invention claimed therein solely for the purposes of developing and commercializing its respective Compound for use in the Combination, which license shall not be transferable or sublicensable to any Third Party except to
(A) Affiliates of the Opting-out Party or Non-Filing Party (as applicable) and (B) Third Parties engaged in developing, manufacturing or marketing that Party’s Compound for or on behalf of that Party or its Affiliates. 

10.1.3 Except as expressly provided in Section 10.1.2 and in furtherance and not in limitation of Section 9.1, each Party agrees to
make no patent application based on the other Party’s Confidential Information, and to give no assistance to any Third Party for such application, without the other Party’s prior written authorization. 

10.1.4 Lilly shall have the first right to initiate and control legal action to enforce all Joint Patents against infringement, and to protect
all Jointly Owned Inventions from misappropriation, by any Third Party where such infringement or misappropriation results from the development or sale of a molecule that is a biosimilar or interchangeable version of the Lilly Compound (i.e., where
a Third Party has filed for marketing approval pursuant to 42 U.S.C. §262(k) or any comparable Applicable Law in other jurisdictions using the Lilly 

  
 13 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 
Compound as the reference drug), or to defend any declaratory judgment action relating thereto, at its sole expense (subject to Section 10.1.5). In the event that Lilly fails to initiate or
defend such action within thirty (30) days after being first notified of such infringement or misappropriation, Athenex shall have the right to do so at its sole expense (subject to Section 10.1.5). Similarly, Athenex shall have the first
right to initiate and control legal action to enforce all Joint Patents against infringement and to protect all Jointly Owned Inventions from misappropriation, by any Third Party where such infringement or misappropriation results from the
development or sale of a molecule that is a biosimilar or interchangeable version of the Athenex Compound (i.e., where a Third Party has filed for marketing approval pursuant to 42 U.S.C. §262(k) or any comparable Applicable Law in other
jurisdictions using the Athenex Compound as the reference drug), or to defend any declaratory judgment action relating thereto, at its sole expense (subject to Section 10.1.5). In the event that Athenex fails to initiate or defend such action
within thirty (30) days after being first notified of such infringement, Lilly shall have the right to do so at its sole expense (subject to Section 10.1.5). In the event that legal action to enforce Joint Patents will involve infringement
or misappropriation resulting from the development or sale of a molecule or molecules that is or includes both the Lilly Compound and the Athenex Compound, the Parties shall work together to coordinate such action and shall share the costs and
expenses of such litigation equally. For clarity, if the alleged infringer is selling or intending to sell only one biosimilar or interchangeable version of either the Lilly Compound or the Athenex Compound, then the Parties obligation to share the
costs and expenses of such litigation shall not apply. 
 10.1.5 If one Party brings any prosecution or enforcement action or proceeding
against a Third Party with respect to any Joint Patent, the second Party agrees to be joined as a party plaintiff where necessary and to give the first Party reasonable assistance and authority to file and prosecute the suit. In such case, the costs
and expenses of such second Party shall be borne by such second Party, but all other costs and expenses of the litigation shall be borne by the Party bringing or defending such suit. Any damages or other monetary awards recovered shall be shared by
the Parties in proportion based on their relative contributions to the total costs and expenses of the litigation. A settlement or consent judgment or other voluntary final disposition of a suit under this Section 10.1.5 may not be entered into
without the consent of the Party not bringing the suit. 
 10.2 Inventions Owned by Lilly. Notwithstanding Section 10.1,
the Parties agree that all rights to Inventions relating solely to the Lilly Compound are the exclusive property of Lilly. Lilly shall be entitled to file in its own name relevant patent applications and to own resultant patent rights for any such
Invention. For the avoidance of doubt, any Invention generically encompassing the Lilly Compound (and not any Athenex proprietary compound including the Athenex Compound) within its scope, even where the Lilly Compound is not disclosed per
se, is the exclusive property of Lilly. 
 10.3 Inventions Owned by Athenex. Notwithstanding Section 10.1, the
Parties agree that all rights to Inventions relating solely to the Athenex Compound are the exclusive property of Athenex. Athenex shall be entitled to file in its own name relevant patent applications and to own resultant patent rights for any such
Invention. For the avoidance of doubt, any Invention generically encompassing the Athenex Compound (and not any Lilly proprietary compound 

  
 14 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 
including the Lilly Compound) within its scope, even where the Athenex Compound is not disclosed per se, is the exclusive property of Athenex. 

10.4 Mutual Freedom to Operate for Combination Inventions. 

 

	 	(i)	Lilly hereby grants to Athenex a non-exclusive, worldwide, royalty-free, fully paid-up license, transferable and sublicensable, to any patent owned or controlled by Lilly which (a) has a priority claim that is
earlier than the initiation of the Study (i.e., first dosing of the first patient in the Study) and (b) claims the Combination, in order to practice such Combination for all purposes. 

 

	 	(ii)	Athenex hereby grants to Lilly a non-exclusive, worldwide, royalty-free, fully paid-up license, transferable and sublicensable, to any patent owned or controlled by Athenex which (a) has a priority claim that is
earlier than the initiation of the Study (i.e., first dosing of the first patient in the Study) and (b) claims the Combination, in order to practice such Combination for all purposes. 

 

	 	(iii)	For clarity, the terms of this Section 10.4 do not provide Athenex or Lilly with any rights, title or interest or any license to the other Party’s background intellectual property which does not claim the
Combination (i.e., intellectual property owned or licensed by either Party which does not constitute an Invention and does not claim the Combination) except as necessary to conduct the Study. 

 

	 	(iv)	Notwithstanding the foregoing, any and all licenses granted under this Section shall terminate upon termination of this Agreement and any future agreement(s) the Parties may enter into related to the Combination.

  

	11.	Reprints. 

 Consistent with applicable copyright and other laws, each Party may use,
refer to, and disseminate reprints of scientific, medical and other published articles and materials from journals, conferences and/or symposia relating to the Study which disclose the name of a Party, provided such use does not constitute an
endorsement of any commercial product or service by the other Party. 
  

	12.	Press Releases and Publications. 

 12.1 *** 

12.2 To the extent required by Applicable Law or Lilly’s policies, Athenex will register the Study with the Clinical Trials Registry
located at www.clinicaltrials.gov. Athenex is committed to timely publication of the results following Study Completion, after taking appropriate action to secure intellectual property rights (if any) arising from the Study. The publication
of the results of the Study will be in accordance with the Protocol. Lilly agrees not to publish any results of the Study involving the Athenex Compound prior to the timely publication of such Study results by Athenex. 

  
 15 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 12.3 Each Party shall use reasonable efforts to publish or present scientific papers dealing with
the Study in accordance with accepted scientific practice. Each Party may issue a press release related to any scientific presentation or publication regarding the Study in a form mutually agreed to by the Parties. 

12.4 The Parties agree that prior to submission of the results of the Study for publication or presentation or any other dissemination of
results including oral dissemination, the publishing Party shall invite the other to comment on the content of the material to be published or presented according to the following procedure: 

 

	 	(i)	At least *** days prior to submission for publication of any paper, letter or any other publication, or *** days prior to submission for presentation of any abstract, poster, talk or any other presentation,
the publishing Party shall provide to the other Party the full details of the proposed publication or presentation in an electronic version (secure file transfer). Upon written request from the other Party, the publishing Party agrees not to submit
data for publication/presentation for an additional *** days in order to allow for actions to be taken to preserve rights for patent protection. 

  

	 	(ii)	The publishing Party shall give reasonable consideration to any request by the other Party made within the periods mentioned in clause (i) above to modify the publication and the Parties shall work in good faith
and in a timely manner to resolve any issue regarding the content for publication. 

  

	 	(iii)	The publishing Party shall remove all Confidential Information of the other Party before finalizing the publication. 

12.5 Notwitstanding the foreging, that in the event Lilly has notified Athenex in writing that Lilly reasonably believes that prior to such
publication or presentation it must take action to protect its intellectual property interests, such as the filing of a patent application claiming an invention or a trademark registration application, Athenex shall either (1) delay such
publication or presentation for an additional *** days or until the foregoing action(s) have been taken, whichever shall first occur; or (2) if Athenex is unwilling to delay the publication or presentation, Athenex will remove from the
publication or presentation the information which Lilly has specified it reasonably believes would jeopardize its intellectual property interests. Under certain circumstances, a shorter review period may be granted in writing by Lilly. Athenex will
assist Lilly in obtaining reprints of the publication(s) resulting from the Study. 
 12.6 Each Party agrees to identify and acknowledge the
other Party’s support in any press release and any other publication or presentation of the results of the Study, provided any such release, publication, presentation or other disclosure is reviewed and approved by the other Party. 

 

	13.	Representations and Warranties; Disclaimers. 

 13.1 Each of Lilly and Athenex represents
and warrants to the other that it has the full right and authority to enter into this Agreement. 

  
 16 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 13.2 Neither Party undertakes that the Study shall lead to any particular result and both Parties
agree and understand that the success of the Study is not guaranteed. Neither Party accepts any responsibility for any use that the other Party may make of the Clinical Data nor for advice or information given in connection therewith. 

13.3 Anti-Corruption and Compliance. 

13.3.1 In performing their respective obligations hereunder, the Parties acknowledge that the corporate policies of Lilly and Athenex and their
respective Affiliates require that each Party’s business be conducted within the letter and spirit of the law. By signing this Agreement, each Party agrees to conduct the business contemplated herein in a manner which is consistent with all
Applicable Law, including the U.S. Foreign Corrupt Practices Act, good business ethics, and its ethics and other corporate policies, and to abide by the spirit of the other Party’s applicable ethics and compliance guidelines which may be
provided by such other Party from time to time. Specifically, each Party agrees that it has not, and covenants that it, its Affiliates, and its and its Affiliates’ directors, employees, officers, and anyone acting on its behalf, will not, in
connection with the performance of this Agreement, directly or indirectly, make, promise, authorize, ratify or offer to make, or take any action in furtherance of, any payment or transfer of anything of value for the purpose of influencing, inducing
or rewarding any act, omission or decision to secure an improper advantage; or improperly assisting it in obtaining or retaining business for it or the other Party, or in any way with the purpose or effect of public or commercial bribery. 

13.3.2 Each Party shall not contact, or otherwise knowingly meet with, any Government Official for the purpose of discussing activities
arising out of or in connection with this Agreement, without the prior written approval of the other Party, except where such meeting is consistent with the purpose and terms of this Agreement and in compliance with Applicable Law. 

13.3.3 Each Party represents that: (i) it has no impediment to enter into the transaction contemplated in this Agreement; and
(ii) it is not (and Athenex represents and covenants that no third party engaged to perform services for the Study will be) excluded, debarred, suspended, proposed for suspension or debarment, or otherwise ineligible for government programs.

 13.3.4 Each Party represents and warrants that except as disclosed to the other in writing prior to the commencement of this Agreement:
(1) it does not have any interest which directly or indirectly conflicts with its proper and ethical performance of this Agreement; (2) it shall maintain arm’s length relations with all Third Parties with which it deals for or on
behalf of the other in performance of this Agreement; and (3) it has provided complete and accurate information to the other Party in the course of negotiating this Agreement, including disclosure of any officers, employees, owners or persons
directly or indirectly retained by such Party, if any, in relation to the performance of this Agreement who are Government Officials or relatives of Government Officials. Each Party shall make all further disclosures as necessary to the other Party
to ensure the information provided remains complete and accurate throughout the term of this Agreement. Subject to the foregoing, each Party agrees that it shall not hire or retain any 

  
 17 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 
Government Official to assist in its performance of this Agreement, with the sole exception of conduct of or participation in clinical trials under this Agreement, provided that such hiring or
retention shall be subject to the completion by the hiring or retaining Party of a satisfactory anti-corruption and bribery (e.g., FCPA) due diligence review of such Government Official. Each Party
further covenants that any future information and documentation submitted to the other Party as part of further due diligence or a certification shall be complete and accurate. 

13.3.5 Each Party shall have the right during the term of this Agreement, and for a period of two (2) years following termination of this
Agreement, to conduct an investigation and audit of the other Party’s activities, books and records, to the extent they relate to that other Party’s performance under this Agreement, to verify compliance with the terms of this
Section 13.3. Such other Party shall cooperate fully with such investigation or audit, the scope, method, nature and duration of which shall be at the sole reasonable discretion of the Party requesting such audit. 

13.3.6 Each Party shall ensure that all transactions under the Agreement are properly and accurately recorded in all material respects on its
books and records and that each document upon which entries in such books and records are based is complete and accurate in all material respects. Each Party further represents, warrants and covenants that all books, records, invoices and other
documents relating to payments and expenses under this Agreement are and shall be complete and accurate and reflect in reasonable detail the character and amount of transactions and expenditures. Each Party must maintain a system of internal
accounting controls reasonably designed to ensure that no off-the-books or similar funds or accounts will be maintained or used in connection with this Agreement. 

13.3.7 Each Party agrees that in the event that the other Party believes in good faith that there has been a possible violation of any
provision of Section 14.3, such other Party may make full disclosure of such belief and related information needed to support such belief at any time and for any reason to any competent government bodies and its agencies, and to whoever such
Party determines in good faith has a legitimate need to know. 
 13.3.8 Each Party agrees to ensure that all employees performing its
obligations under this Agreement are provided ethics and compliance training in accordance with such Party’s corporate policies and procedures. All Internal Compliance Codes shall apply only to the Party to which they relate. The Parties agree
to cooperate with each other to insure that each Party is able to comply with the substance of its respective Internal Compliance Codes and Party Specific Regulations and, to the extent practicable, to operate in a manner consist with its usual
Compliance related processes. Neither Party shall be obligated to pursue any course of conduct that would result in such Party being in material breach of any Party Specific Regulation applicable to it. All Party Specific Regulations are binding
only in accordance with their terms and only upon the Party to which they relate. 
 13.4 EXCEPT AS EXPRESSLY PROVIDED HEREIN, ATHENEX MAKES
NO WARRANTIES, EXPRESS OR IMPLIED, INCLUDING ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, WITH RESPECT TO THE ATHENEX COMPOUND, AND LILLY MAKES NO WARRANTIES, EXPRESS OR 

  
 18 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 
IMPLIED, INCLUDING ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, WITH RESPECT TO THE LILLY COMPOUND. 

 

	14.	Insurance; Indemnification; Limitation of Liability. 

 14.1 Insurance. Each
Party warrants that it maintains a policy or program of insurance or self-insurance at levels sufficient to support the indemnification obligations assumed herein. Upon request, a Party shall provide evidence of such insurance. 

14.2 Indemnification. 

14.2.1 Indemnification by Athenex. Athenex agrees to defend, indemnify and hold harmless Lilly, its Affiliates, and its and their
employees, directors, subcontractors and agents from and against any loss, damage, reasonable costs and expenses (including reasonable attorneys’ fees and expenses) incurred in connection with any claim, proceeding, or investigation by a Third
Party arising out of this Agreement or the Study (a “Liability”), except to the extent that such Liability (A) was directly caused by (i) ***; (ii) ***; or (iii) ***; or (B) is determined to be attributable
to ***. 
 14.2.2 Indemnification by Lilly. Lilly agrees to defend, indemnify and hold harmless Athenex, its Affiliates, and its and
their employees, directors, subcontractors and agents from and against any Liability to the extent that such Liability (A) was directly caused by (i) ***; (ii) ***; or (iii) ***; or (B) is determined to be attributable to
***. 
 14.2.3 Procedure. The obligations of Athenex and Lilly under this Section 14.2 are conditioned upon the delivery of
written notice to Athenex or Lilly, as the case might be, of any potential Liability within a reasonable time after a Party becomes aware of such potential Liability. A Party will have the right to assume the defense of any suit or claim related to
the Liability (using counsel reasonably satisfactory to the other Party) if it has assumed responsibility for the suit or claim in writing. The other Party may participate in (but not control) the defense thereof at its sole cost and expense. The
Party controlling such defense (the “Defending Party”) shall keep the other Party (the “Other Party”) advised of the status of such action, suit, proceeding or claim and the defense thereof and shall consider
recommendations made by the Other Party with respect thereto. The Defending Party shall not agree to any settlement of such action, suit, proceeding or claim without the prior written consent of the Other Party, which shall not be unreasonably
withheld. The Defending Party shall not agree to any settlement of such action, suit, proceeding or claim or consent to any judgment in respect thereof that does not include a complete and unconditional release of the Other Party from all liability
with respect thereto or that imposes any liability or obligation on the Other Party without the prior written consent of the Other Party. 

14.2.4 Study Subjects. Lilly shall not offer compensation on behalf of Athenex to any Study subject or bind Athenex to any
indemnification obligations in favor of any Study subject. Likewise, Athenex shall not offer compensation on behalf of Lilly to any Study subject or bind Lilly to any indemnification obligations in favor of any Study subject. 

  
 19 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 14.3 LIMITATION OF LIABILITY. OTHER THAN WITH RESPECT TO DAMAGES ARISING OUT OF OR
RELATED TO A PARTY’S BREACH OF ITS OBLIGATIONS UNDER THIS AGREEMENT TO USE, DISCLOSE, LICENSE, ASSIGN OR OTHERWISE TRANSFER SAMPLE TESTING RESULTS, CLINICAL DATA, CONFIDENTIAL INFORMATION AND JOINTLY-OWNED INVENTIONS ONLY FOR THE PERMITTED USE,
IN NO EVENT SHALL EITHER PARTY (OR ANY OF ITS AFFILIATES OR SUBCONTRACTORS) BE LIABLE TO THE OTHER PARTY FOR, NOR SHALL ANY INDEMNIFIED PARTY HAVE THE RIGHT TO RECOVER, ANY SPECIAL, INDIRECT, INCIDENTAL, PUNITIVE OR CONSEQUENTIAL DAMAGES (INCLUDING
LOST PROFITS OR DAMAGES FOR LOST OPPORTUNITIES), WHETHER IN CONTRACT, WARRANTY, NEGLIGENCE, TORT, STRICT LIABILITY OR OTHERWISE, ARISING OUT OF (x) THE MANUFACTURE OR USE OF ANY COMPOUND SUPPLIED HEREUNDER OR (y) ANY BREACH OF OR FAILURE
TO PERFORM ANY OF THE PROVISIONS OF THIS AGREEMENT OR ANY REPRESENTATION, WARRANTY OR COVENANT CONTAINED IN OR MADE PURSUANT TO THIS AGREEMENT, EXCEPT THAT SUCH LIMITATION SHALL NOT APPLY TO DAMAGES PAID OR PAYABLE TO A THIRD PARTY BY AN INDEMNIFIED
PARTY FOR WHICH THE INDEMNIFIED PARTY IS ENTITLED TO INDEMNIFICATION HEREUNDER. 
  

	15.	Use of Name. 

 Except as expressly provided herein, neither Party shall have any right,
express or implied, to use in any manner the name or other designation of the other Party or any other trade name, trademark or logo of the other Party for any purpose in connection with the performance of this Agreement. 

 

	16.	Force Majeure. 

 If in the performance of this Agreement, one of the Parties is
prevented, hindered or delayed by reason of any cause beyond such Party’s reasonable control (e.g., war, riots, fire, strike, governmental laws), such Party shall be excused from performance to the extent that it is necessarily
prevented, hindered or delayed (“Force Majeure”). The non-performing Party will notify the other Party of such Force Majeure within ten (10) days after such occurrence by giving written notice to the other Party stating the
nature of the event, its anticipated duration, and any action being taken to avoid or minimize its effect. The suspension of performance will be of no greater scope and no longer duration than is necessary and the non-performing Party will use
commercially reasonable efforts to remedy its inability to perform. 
  

	17.	Entire Agreement; Modification. 

 The Parties agree to the full and complete performance
of the mutual covenants contained in this Agreement. This Agreement, together with the Related Agreements, constitutes the sole, full and complete agreement by and between the Parties with respect to the subject matter of this Agreement, and all
prior agreements, understandings, promises and representations, whether written or oral, with respect thereto are superseded by this Agreement. No amendments, changes, additions, deletions or modifications to or of this Agreement shall be valid
unless reduced to writing and signed by the Parties hereto. 

  
 20 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

	18.	Assignment and Sub-Contracting. 

 Neither Party shall assign or transfer this Agreement
without the prior written consent of the other Party; provided, however, that either Party may assign all or any part of this Agreement to one or more of its Affiliates without the other Party’s consent, and any and all rights and obligations
of either Party may be exercised or performed by its Affiliates, provided that such Affiliates agree to be bound by this Agreement. 
  

	19.	Invalid Provision. 

 If any provision of this Agreement is held to be illegal, invalid or
unenforceable, the remaining provisions shall remain in full force and effect and will not be affected by the illegal, invalid or unenforceable provision. In lieu of the illegal, invalid or unenforceable provision, the Parties shall negotiate in
good faith to agree upon a reasonable provision that is legal, valid and enforceable to carry out as nearly as practicable the original intention of the entire Agreement. 
  

	20.	No Additional Obligations. 

 Lilly and Athenex have no obligation to renew this Agreement
or apply this Agreement to any clinical trial other than the Study. Neither Party is under any obligation to enter into another type of agreement at this time or in the future. 

 

	21.	Dispute Resolution and Jurisdiction. 

 21.1 The Parties shall attempt in good faith to
settle all disputes arising out of or in connection with this Agreement in an amicable manner. Any claim, dispute or controversy arising out of or relating to this Agreement, including the breach, termination or validity hereof or thereof (each, a
“Dispute”), shall be governed by and construed in accordance with the substantive laws of the State of New York, without giving effect to its choice of law principles. 

21.2 Nothing contained in this Agreement shall deny either Party the right to seek injunctive or other equitable relief from a court of
competent jurisdiction in the context of a bona fide emergency or prospective irreparable harm, and such an action may be filed or maintained notwithstanding any ongoing discussions between the Parties. 

 

	22.	Notices. 

 All notices or other communications that are required or permitted hereunder
shall be in writing and delivered personally, sent by facsimile (and promptly confirmed by personal delivery or overnight courier), or sent by internationally-recognized overnight courier addressed as follows: 

If to Athenex, to: 
 Athenex, Inc. 

Conventus Building 
 1001 Main
Street, Suite 600 

  
 21 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 Buffalo, New York 14203 

Attn: Teresa Bair, Esq., Legal Affairs 

Fascimile No: 866-895-1793 
 With a copy to: 

Athenex, Inc. 
 Conventus Building

 1001 Main Street, Suite 600 

Buffalo, New York 14203 
 Attn:
Robert Keem, Operations 
 Fascimile No: 866-895-1793 

If to Lilly, to: 
 Eli Lilly and Company 

Lilly Corporate Center 
 893 S
Delaware 
 Indianapolis, IN, USA 46285 

Attention: Sr VP of Clinical Development and Medical Affairs, Oncology 

Business Unit 
 Facsimile No:
(317) 277-3652 
 With a copy to: 
 Eli
Lilly and Company 
 Lilly Corporate Center 

893 S Delaware 
 Indianapolis, IN,
USA 46285 
 Attention: General Counsel 

Facsimile No: (317) 433-3000 
  

	23.	Relationship of the Parties. 

 The relationship between the Parties is and shall be that
of independent contractors, and does not and shall not constitute a partnership, joint venture, agency or fiduciary relationship. Neither Party shall have the authority to make any statements, representations or commitments of any kind, or take any
actions, which are binding on the other Party, except with the prior written consent of the other Party to do so. All persons employed by a Party will be the employees of such Party and not of the other Party and all costs and obligations incurred
by reason of any such employment shall be for the account and expense of such Party. 
  

	24.	Counterparts and Due Execution. 

 This Agreement, any amendment and Related Agreements
may be executed in two (2) or more counterparts (including by way of facsimile or electronic transmission), each of which shall be deemed an original, but all of which together shall constitute one and the same instrument,

  
 22 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 
notwithstanding any electronic transmission, storage and printing of copies of this Agreement from computers or printers. When executed by the Parties, this Agreement shall constitute an original
instrument, notwithstanding any electronic transmission, storage and printing of copies of this Agreement from computers or printers. For clarity, facsimile signatures and signatures transmitted via PDF shall be treated as original signatures. 

 

	25.	Construction. 

 Except where the context otherwise requires, wherever used, the singular
will include the plural, the plural the singular, the use of any gender will be applicable to all genders, and the word “or” is used in the inclusive sense (and/or). Whenever this Agreement refers to a number of days, unless otherwise
specified, such number refers to calendar days. The captions of this Agreement are for convenience of reference only and in no way define, describe, extend or limit the scope or intent of this Agreement or the intent of any provision contained in
this Agreement. The term “including” as used herein shall be deemed to be followed by the phrase “without limitation” or like expression. The term “will” as used herein means shall. References to “Article,”
“Section” or “Appendix” are references to the numbered sections of this Agreement and the appendices attached to this Agreement, unless expressly stated otherwise. Except where the context otherwise requires, references to this
“Agreement” shall include the appendices attached to this Agreement. The language of this Agreement shall be deemed to be the language mutually chosen by the Parties and no rule of strict construction will be applied against either Party
hereto. 
 [Remainder of page intentionally left blank.] 

  
 23 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 FOIA CONFIDENTIAL TREATMENT REQUESTED 

Confidential Materials omitted and filed separate with the Securities and Exchange Commission 

Triple asterisks denote omissions 

IN WITNESS WHEREOF, the respective representatives of the Parties have executed this Agreement as of the Effective Date. 

Athenex, Inc. 

			
		
	By:	 	 

 Name: (Type or Print) Simon Pedder, PhD 

Title: Vice President of Corporate Strategy and Business Development 

			
		
	Date:	 	 

 Eli Lilly and Company 

			
		
	By:	 	 

 Name: Richard Gaynor 
 Title: Sr
VP of Clinical Development and Medical Affairs, Oncology 

			
		
	Date:	 	 

 Eli Lilly and Company 

			
		
	By:	 	 

 Name: Michael Franklin 
 Title:
Sr. Advisor Commercial Product/Collaborations 

			
		
	Date:	 	 

 ImClone LLC 

			
		
	By:	 	 

 Name (Type or Print): 
 Title:
Member 

			
		
	Date:	 	 

  

  
 24 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 FOIA CONFIDENTIAL TREATMENT REQUESTED 

Confidential Materials omitted and filed separate with the Securities and Exchange Commission 

Triple asterisks denote omissions 

Appendix A 
 PROTOCOL SUMMARY 

  
 25 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 *** 
 A total 77
pages of Protocol summary redacted. 

  
 26 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 Appendix B 

LILLY PRODUCT Supply Agreement 

  
 27 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission. 

 *** 

A total 4 pages of Supply Agreement redacted. 

  
 28 

*** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An unredacted version of this exhibit has been filed
separately with the Commission.

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