JOHN L. FLAVIN - 13 Oct 2021 Form 4 Insider Report for Pyxis Oncology, Inc. (PYXS)

Role
Director
Signature
/s/ Pamela Connealy, Attorney-in-Fact for John Flavin
Issuer symbol
PYXS
Transactions as of
13 Oct 2021
Net transactions value
$0
Form type
4
Filing time
15 Oct 2021, 17:35:34 UTC
Previous filing
07 Oct 2021
Next filing
04 Apr 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PYXS Common Stock Conversion of derivative security +2,388 +1.4% 171,610 13 Oct 2021 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PYXS Series B Convertible Preferred Stock Conversion of derivative security $0 -15,190 -100% $0.000000* 0 13 Oct 2021 Common Stock 2,388 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 Includes 47,593 shares of restricted stock that are subject to vesting in six, substantially-equal quarterly installments beginning October 22, 2021, subject to the reporting person's continued service through the applicable vesting date.