Home > Insider Trading > Filing (0001140361-21-034645)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1782223	Pyxis Oncology Inc.	PYXS	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1734389	Mark Chin	C/O Pyxis Oncology, Inc. 35 Cambridgepark Drive Cambridge MA 02140		No	No	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-10-13	1,433,261	$0.00	1,433,261	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-10-13	312,500	$16.00	1,745,761	No	4	P	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	P	Indirect	See footnote

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Convertible Preferred Stock	Disposition	2021-10-13	9,114,109	$0.00	1,433,261	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Indirect

Footnotes

These shares of Series B Convertible Preferred Stock converted automatically and for no additional consideration into Common Stock on a 6.359-for-1 basis upon completion of the Issuer's initial public offering (with fractional shares paid out in cash). The shares of Series B Convertible Preferred Stock had no expiration date.
These securities are held directly by Arix Bioscience Holdings Limited ("Arix"). The reporting person is one of four members of the Investment Committee of Arix and, in such capacity, may be deemed to share voting and dispositive power over the securities held by Arix. The reporting person disclaims beneficial ownership of such securities except to the extent of his respective pecuniary interests therein.