Pyxis Oncology, Inc. — Director's Dealing 2021

Oct 8, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Pyxis Oncology, Inc. (PYXS)
CIK: 0001782223
Period of Report: 2021-10-07

Reporting Person: Chin Mark (N/A)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series B Convertible Preferred Stock	$		Common Stock (1433261)		Indirect
Stock Option (Right to buy)	$8.71	2031-08-18	Common Stock (15725)		Direct

Footnotes

F1: Each 6.359 shares of Series B Convertible Preferred Stock are currently convertible into one share of Common Stock at the option of the holder, for no additional consideration, and will convert automatically upon completion of the Issuer's initial public offering (with fractional shares paid out in cash). These shares have 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.

F3: These stock options vest in three, substantially-equal annual installments beginning on the first anniversary of the August 19, 2021 grant date, subject to the reporting person's continued service through the applicable vesting date.