Chen Bihua's Form 4 filing
Pyxis Oncology, Inc. (PYXS) · filed Oct 15, 2021
- Accession no.
- 0001567619-21-018355
- Filed
- Oct 15, 2021, 4:12 PM ET
- Trade date
- Oct 13, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market purchases total $7.20M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Chen BihuaCIK 0001599214 | Director, Other: Former 10% Owner |
| Cormorant Asset Management, LPCIK 0001583977 | Other: Former 10% Owner |
| Cormorant Global Healthcare Master Fund, LPCIK 0001618442 | Other: Former 10% Owner |
| Cormorant Private Healthcare Fund III LPCIK 0001817320 | Other: Former 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 13, 2021 | Common Stock | CConversionAcquired | +668,854 | –F1 | – | 668,854 | Indirect | |
| Oct 13, 2021 | Common Stock | PPurchaseAcquired | +450,000 | $16.00 | +$7,200,000 | 1,118,854 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 13, 2021 | Common Stock | CConversionDisposed | −668,854 | –F1 | – | 0 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Shares of Series B Convertible Preferred Stock were convertible at any time at the holder's election, without payment of additional consideration. Such shares had no expiration date but converted into Common Stock automatically upon the closing of the Issuer's initial public offering.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.