Pyxis Oncology, Inc. — Director's Dealing 2021

Oct 15, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Pyxis Oncology, Inc. (PYXS)
CIK: 0001782223
Period of Report: 2021-10-13

Reporting Person: Chin Mark (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-10-13	Common Stock	C	1433261	—	Acquired	1433261	Indirect
2021-10-13	Common Stock	P	312500	$16	Acquired	1745761	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-10-13	Series B Convertible Preferred Stock	$	C	9114109	Disposed		Common Stock (1433261)	Indirect

Footnotes

F1: 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.

F2: 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.