PYXS

SEC source: 0001209191-23-060006 · doc4.xml · derivative · entry 2

Kobayashi Ken · CIK 0002003383 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,878

Underlying: Common Stock · 110,878 shares

Expires 2033-12-29

F2 · derivative.exercise_date: The shares subject to this option will vest upon the achievement of certain clinical milestones related to data disclosure for PYX-201.

SEC source: 0001209191-23-060006 · doc4.xml · derivative · entry 1

Kobayashi Ken · CIK 0002003383 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 443,514

Underlying: Common Stock · 443,514 shares

Expires 2033-12-29

F1 · derivative.exercise_date: The shares subject to this option will vest over four years, with 25% vesting on November 27, 2024 and the remainder vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued employment through the applicable vesting dates.

SEC source: 0001209191-23-056969 · doc4.xml · nonDerivative · entry 1

Connealy Pamela Ann · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 781,583

F1 · shares: Represents shares withheld to cover taxes due upon the vesting of certain restricted stock units.

SEC source: 0001209191-23-055744 · doc4.xml · nonDerivative · entry 1

Wadhane Jitendra · CIK 0001941706 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 266,937

F1 · shares: Represents restricted stock units that vest in full on November 14, 2024, subject to the Reporting Person's continued employment through the vesting date.

SEC source: 0001209191-23-050734 · doc4.xml · nonDerivative · entry 1

Connealy Pamela Ann · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 818,532

F1 · price: The Reporting Person purchased all 8,000 shares of common stock in the open market at a price of $1.87 per share.

SEC source: 0001209191-23-050686 · doc4.xml · nonDerivative · entry 1

Wadhane Jitendra · CIK 0001941706 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 226,937

F1 · price: The Reporting Person purchased all 2,500 shares of common stock in the open market at a price of $1.87 per share.

SEC source: 0001209191-23-050685 · doc4.xml · nonDerivative · entry 1

Connealy Pamela Ann · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 810,532

F1 · price: Represents the weighted average purchase price of common stock purchased by the Reporting Person in open market transactions. The range of purchase prices on the transaction date was $1.78 to $1.87 per share. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each price.

SEC source: 0001209191-23-050495 · doc4.xml · nonDerivative · entry 1

Wadhane Jitendra · CIK 0001941706 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 224,437

F1 · price: The Reporting Person purchased all 5,000 shares of common stock in the open market at a price of $1.77 per share.

SEC source: 0001209191-23-050492 · doc4.xml · nonDerivative · entry 1

Connealy Pamela Ann · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 804,106

F1 · price: Represents the weighted average purchase price of common stock purchased by the Reporting Person in open market transactions. The range of purchase prices on the transaction date was $1.615 to $1.70 per share. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each price.

SEC source: 0001209191-23-050433 · doc4.xml · nonDerivative · entry 1

Wadhane Jitendra · CIK 0001941706 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 219,437

F1 · price: The Reporting Person purchased all 2,500 shares of common stock in the open market at a price of $1.7397 per share.

SEC source: 0001209191-23-050432 · doc4.xml · nonDerivative · entry 1

Connealy Pamela Ann · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 792,106

F1 · price: The Reporting Person purchased all 5,000 shares of common stock in the open market at a price of $1.739 per share.

SEC source: 0001209191-23-050613 · doc4.xml · derivative · entry 1

Dupont Jakob · CIK 0001553335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 392,461

Underlying: Common Stock · 392,461 shares

Expires 2033-09-22

F1 · derivative.exercise_date: These stock options vest in three equal annual installments beginning on the first anniversary of August 23, 2023, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001209191-23-049826 · doc4.xml · nonDerivative · entry 2

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,403,882

SEC source: 0001209191-23-049826 · doc4.xml · nonDerivative · entry 1

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,412,423

SEC source: 0001209191-23-049366 · doc4.xml · nonDerivative · entry 4

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,412,523

F5 · shares: Represents shares withheld to cover taxes due upon the vesting of certain restricted stock units.

SEC source: 0001209191-23-049366 · doc4.xml · nonDerivative · entry 3

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,597,265

F1 · price: Reflects sales of common stock executed in multiple transactions. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected within the ranges set forth in footnotes 2 through 4 of this Form 4.

F4 · price: The transaction was executed in multiple trades in prices ranging from $2.25 to $2.34.

SEC source: 0001209191-23-049366 · doc4.xml · nonDerivative · entry 2

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,600,265

F1 · price: Reflects sales of common stock executed in multiple transactions. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected within the ranges set forth in footnotes 2 through 4 of this Form 4.

F3 · price: The transaction was executed in multiple trades in prices ranging from $2.21 to $2.30.

SEC source: 0001209191-23-049366 · doc4.xml · nonDerivative · entry 1

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,605,182

F1 · price: Reflects sales of common stock executed in multiple transactions. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected within the ranges set forth in footnotes 2 through 4 of this Form 4.

F2 · price: The transaction was executed in multiple trades in prices ranging from $2.13 to $2.36.

SEC source: 0001209191-23-048814 · doc4.xml · nonDerivative · entry 1

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,625,182

F1 · shares: Represents restricted stock units that are fully vested.

SEC source: 0001209191-23-048819 · doc4.xml · nonDerivative · entry 1

Connealy Pamela Ann · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 782,106

F1 · shares: Represents restricted stock units that are fully vested.

SEC source: 0001209191-23-048816 · doc4.xml · nonDerivative · entry 1

Wadhane Jitendra · CIK 0001941706 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,937

F1 · shares: Represents restricted stock units that are fully vested.

SEC source: 0001209191-23-047384 · doc4.xml · derivative · entry 3

Dupont Jakob · CIK 0001553335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,250

Underlying: Common Stock · 17,250 shares

Expires 2032-09-29

F2 · price: On May 23, 2023, the Issuer, Ascent Merger Sub Corp., a wholly-owned subsidiary of the Issuer, or the Merger Sub, and Apexigen, Inc., or Apexigen, entered into a definitive agreement for the Issuer to acquire Apexigen, or the Merger Agreement. Under the terms of the Merger Agreement, the reporting person's options to purchase shares of Apexigen Common Stock, or the Apexigen Options, that were outstanding immediately prior to the effective time of the merger were assumed by the Issuer and converted into options to acquire, on substantially similar terms and conditions, the number of shares of the Issuer Common Stock determined by multiplying the number of shares subject to the Apexigen Options by 0.1725, or the Exchange Ratio, shares of the Issuer Common Stock, rounded down to the nearest whole share, with an exercise price per share equal to the exercise price per share of such Apexigen Option divided by the Exchange Ratio, rounded up to the nearest whole cent.

F1 · derivative.exercise_date: The shares subject to this option vested in full immediately prior to the closing of the merger described in footnote 2.

SEC source: 0001209191-23-047384 · doc4.xml · derivative · entry 2

Dupont Jakob · CIK 0001553335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,534

Underlying: Common Stock · 3,534 shares

Expires 2031-02-12

F2 · price: On May 23, 2023, the Issuer, Ascent Merger Sub Corp., a wholly-owned subsidiary of the Issuer, or the Merger Sub, and Apexigen, Inc., or Apexigen, entered into a definitive agreement for the Issuer to acquire Apexigen, or the Merger Agreement. Under the terms of the Merger Agreement, the reporting person's options to purchase shares of Apexigen Common Stock, or the Apexigen Options, that were outstanding immediately prior to the effective time of the merger were assumed by the Issuer and converted into options to acquire, on substantially similar terms and conditions, the number of shares of the Issuer Common Stock determined by multiplying the number of shares subject to the Apexigen Options by 0.1725, or the Exchange Ratio, shares of the Issuer Common Stock, rounded down to the nearest whole share, with an exercise price per share equal to the exercise price per share of such Apexigen Option divided by the Exchange Ratio, rounded up to the nearest whole cent.

F1 · derivative.exercise_date: The shares subject to this option vested in full immediately prior to the closing of the merger described in footnote 2.

SEC source: 0001209191-23-047384 · doc4.xml · derivative · entry 1

Dupont Jakob · CIK 0001553335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,879

Underlying: Common Stock · 5,879 shares

Expires 2030-09-01

F2 · price: On May 23, 2023, the Issuer, Ascent Merger Sub Corp., a wholly-owned subsidiary of the Issuer, or the Merger Sub, and Apexigen, Inc., or Apexigen, entered into a definitive agreement for the Issuer to acquire Apexigen, or the Merger Agreement. Under the terms of the Merger Agreement, the reporting person's options to purchase shares of Apexigen Common Stock, or the Apexigen Options, that were outstanding immediately prior to the effective time of the merger were assumed by the Issuer and converted into options to acquire, on substantially similar terms and conditions, the number of shares of the Issuer Common Stock determined by multiplying the number of shares subject to the Apexigen Options by 0.1725, or the Exchange Ratio, shares of the Issuer Common Stock, rounded down to the nearest whole share, with an exercise price per share equal to the exercise price per share of such Apexigen Option divided by the Exchange Ratio, rounded up to the nearest whole cent.

F1 · derivative.exercise_date: The shares subject to this option vested in full immediately prior to the closing of the merger described in footnote 2.

SEC source: 0001209191-23-021407 · doc4.xml · nonDerivative · entry 1

FLAVIN JOHN L · CIK 0001126556 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 377,796

F1 · shares: Represents restricted stock units that vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001209191-23-021412 · doc4.xml · derivative · entry 5

Feingold Jay · CIK 0001885838 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,517

Underlying: Common Stock · 17,517 shares

Expires 2031-09-14

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F4 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the closing of the Issuer's initial public offering, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021412 · doc4.xml · derivative · entry 4

Feingold Jay · CIK 0001885838 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,257

Underlying: Common Stock · 157,257 shares

Expires 2031-09-12

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F3 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the September 13, 2021 grant date, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021412 · doc4.xml · derivative · entry 3

Feingold Jay · CIK 0001885838 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,517 shares

Expires 2031-09-14

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F4 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the closing of the Issuer's initial public offering, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021412 · doc4.xml · derivative · entry 2

Feingold Jay · CIK 0001885838 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 157,257 shares

Expires 2031-09-12

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F3 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the September 13, 2021 grant date, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021412 · doc4.xml · nonDerivative · entry 1

Feingold Jay · CIK 0001885838 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 730,345

F1 · shares: Represents restricted stock units that vest 25% on March 24, 2024, and then in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021409 · doc4.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,186

F1 · shares: Represents restricted stock units that vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001209191-23-021408 · doc4.xml · nonDerivative · entry 1

HUMPHREY RACHEL · CIK 0001579781 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,064

F1 · shares: Represents restricted stock units that vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001209191-23-021405 · doc4.xml · nonDerivative · entry 1

Cline Darren S · CIK 0001633639 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,186

F1 · shares: Represents restricted stock units that vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001209191-23-021404 · doc4.xml · nonDerivative · entry 1

Civik Thomas · CIK 0001723092 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,186

F1 · shares: Represents restricted stock units that vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001209191-23-021413 · doc4.xml · derivative · entry 5

Yanchik Connealy Pamela · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,304

Underlying: Common Stock · 10,304 shares

Expires 2031-09-14

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F4 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the closing of the Issuer's initial public offering, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021413 · doc4.xml · derivative · entry 4

Yanchik Connealy Pamela · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 322,265

Underlying: Common Stock · 322,265 shares

Expires 2031-07-30

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F3 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the July 31, 2021 grant date, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021413 · doc4.xml · derivative · entry 3

Yanchik Connealy Pamela · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,304 shares

Expires 2031-09-14

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F4 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the closing of the Issuer's initial public offering, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021413 · doc4.xml · derivative · entry 2

Yanchik Connealy Pamela · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 322,265 shares

Expires 2031-07-30

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F3 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the July 31, 2021 grant date, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021413 · doc4.xml · nonDerivative · entry 1

Yanchik Connealy Pamela · CIK 0001796310 · CFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 594,313

F1 · shares: Represents restricted stock units that vest 25% on March 24, 2024, and then in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021415 · doc4.xml · derivative · entry 5

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,825

Underlying: Common Stock · 61,825 shares

Expires 2031-09-14

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F4 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the closing of the Issuer's initial public offering, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021415 · doc4.xml · derivative · entry 4

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 990,461

Underlying: Common Stock · 990,461 shares

Expires 2031-03-30

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F3 · derivative.exercise_date: These stock options vest in 48 substantially-equal monthly installments beginning January 2, 2020, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021415 · doc4.xml · derivative · entry 3

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 61,825 shares

Expires 2031-09-14

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F4 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the closing of the Issuer's initial public offering, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021415 · doc4.xml · derivative · entry 2

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 990,461 shares

Expires 2031-03-30

F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F3 · derivative.exercise_date: These stock options vest in 48 substantially-equal monthly installments beginning January 2, 2020, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021415 · doc4.xml · nonDerivative · entry 1

Sullivan Lara · CIK 0001769457 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,155,699

F1 · shares: Represents restricted stock units that vest 25% on March 24, 2024, and then in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021411 · doc4.xml · derivative · entry 4

Wadhane Jitendra · CIK 0001941706 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,257

Underlying: Common Stock · 157,257 shares

Expires 2031-07-30

F3 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F3 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F4 · derivative.exercise_date: These stock options vested 25% on August 23, 2022, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021411 · doc4.xml · derivative · entry 3

Wadhane Jitendra · CIK 0001941706 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 157,257 shares

Expires 2031-07-30

F3 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F3 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements.

F4 · derivative.exercise_date: These stock options vested 25% on August 23, 2022, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021411 · doc4.xml · nonDerivative · entry 2

Wadhane Jitendra · CIK 0001941706 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,648

F2 · shares: Represents restricted stock units that vest 25% on August 3, 2023, and then in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001209191-23-021411 · doc4.xml · nonDerivative · entry 1

Wadhane Jitendra · CIK 0001941706 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,041

F1 · shares: Represents restricted stock units that vest 25% on March 24, 2024, and then in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0000078003-23-000050 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,952,263

SEC source: 0000078003-23-000052 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,952,263

F1 · shares: The securities were issued under that certain first amendment dated March 16, 2023 to the Amended and Restated License Agreement dated October 14, 2022 between the Reporting Person and the Issuer, pursuant to which the Issuer agreed to issue to the Reporting Person such number of shares of common stock equivalent to $5.0 million at a per share price equal to the closing price of the Issuer's common stock on the business day when the closing price of the Issuer's common stock on the Nasdaq Global Select Market is at or above $2.46 per share on any day between March 16, 2023 and a date that is within 180 days following October 6, 2022.

F2 · price: On March 17, 2023, the closing price of the Issuer's common stock on the Nasdaq Global Select Market was $2.76 per share.