Ronald Herbst - Oct 7, 2021 Form 3 Insider Report for Pyxis Oncology, Inc. (PYXS)

Role
Chief Scientific Officer
Signature
/s/ Pamela Connealy, Attorney-in-Fact for Ronald Herbst
Stock symbol
PYXS
Transactions as of
Oct 7, 2021
Transactions value $
$0
Form type
3
Date filed
10/7/2021, 09:18 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding PYXS Common Stock 90.4K Oct 7, 2021 Direct F1

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
holding PYXS Stock Option (Right to buy) Oct 7, 2021 Common Stock 297K $5.34 Direct F2
holding PYXS Stock Option (Right to buy) Oct 7, 2021 Common Stock 10.3K $8.71 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 43,327 shares of restricted stock that are subject to vesting in 23 substantially-equal monthly installments beginning October 21, 2021, subject to the reporting person's continued employment through the applicable vesting date.
F2 These stock options vest in 48 substantially-equal monthly installments beginning September 21, 2019, subject to the reporting person's continued employment through the applicable vesting date.
F3 These stock options vest 25% on the first anniversary of the closing of the Issuer's initial public offering, and then in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

Remarks:

Exhibit List: Exhibit 24 - Power of Attorney