Pyxis Oncology, Inc.
For the period ended Dec 31, 2024. Filed Mar 18, 2025.
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FY2024 · Filed Mar 18, 2025
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Item 9B. Other Information
During the year ended December 31, 2024, none of our directors or officers (as defined in Rule 16a-1(f) under the Exchange Act) adopted orterminated any “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408 of Regulation S-K for the purchase or sale of our securities, except as set forth below:
| Name and Title | Type of Plan | Adoption Date | Duration or End Date | Aggregate Number of Securities to be Sold | Description of Trading Arrangement |
|---|---|---|---|---|---|
| Rachel Humphrey, M.D.Director | Rule 10b5-1 trading arrangement | December 5, 2024 | March 26, 2025 - February 27, 2026 | 259,454 | Sales of shares intended to satisfy the affirmative defense of Rule 10b5–1(c) |
| Lara Sullivan, M.D.President and Chief Executive Officer | Rule 10b5-1 trading arrangement | December 24, 2024 | March 24, 2024 - December 31, 2025 | 513,000 | Sales of shares intended to satisfy the affirmative defense of Rule 10b5–1(c) |
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