Form 4 for PYXS Pyxis Oncology, Inc.
Accepted 2021-10-15 00:00:00 ET · period of report 2021-10-13 · accession 0001140361-21-034645 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2021-10-15 | 2021-10-13 | PYXS | Chin Mark | Dir | P - Purchase | $16.00 | +312.5K | 1.75M | +22% | +$5.00M |
| DI | 2021-10-15 | 2021-10-13 | PYXS | Chin Mark | Dir | C - Cnv Deriv | — | +1.43M | 1.43M | New | — |
| DI | 2021-10-15 | 2021-10-13 | PYXS | Chin Mark | Dir | C - Cnv Deriv | $0.00 | -9.11M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-10-13 | P | A | 312,500 | $16.00 | 1,745,761 | I See footnote | — | — | (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. |
| 2 | Common | Common Stock | 2021-10-13 | C | A | 1,433,261 | — | 1,433,261 | I See footnote | — | — | (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. |
| 3 | Derivative | Series B Convertible Preferred Stock | 2021-10-13 | C | D | 9,114,109 | $0.00 | 0 | I See footnote | — · — to — | 1,433,261 Common Stock | (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. (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. |