Sec Form 13G Filing - Bayer World Investments B.V. filing for PYXIS ONCOLOGY INC (PYXS) - 2022-02-11

Insider filing report for Changes in Beneficial Ownership

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  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13G

(Amendment No.  )*

 

Under the Securities Exchange Act of 1934

 

  Pyxis Oncology, Inc.  
  (Name of Issuer)  
     
  Common Stock, par value $0.001 per share  
  (Title of Class of Securities)  
     
  747324101  
  (CUSIP Number)  
     
  December 31, 2021  
  (Date of Event Which Requires Filing of this Statement)  

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

¨ Rule 13d-1(b)

¨ Rule 13d-1(c)

x Rule 13d-1(d)

 

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing of this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

 

 

 

 

 

CUSIP No. 747324101          Page 2 of 8 Pages

 

1. Name of Reporting Person
   
  Bayer World Investments B.V.
   
2. Check the Appropriate Box if a Member of a Group
     
    (a) ¨
    (b) x
     
3. SEC Use Only
   
   
4. Citizenship or Place of Organization
   
  The Netherlands
   

 

 

 

 

 

Number of

Shares

Beneficially

Owned By

Each Reporting

Person with

 

 

 

 

5.  Sole Voting Power
   
  0
   
6.   Shared Voting Power
   
  2,742,338
   
7.     Sole Dispositive Power
   
  0
   
8.  Shared Dispositive Power
   
  2,742,338
   
9.         Aggregate Amount Beneficially Owned by Each Reporting Person
   
  2,742,338
   
10.       Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
  ;  
  Not Applicable
   
11.       Percent of Class Represented by Amount in Row (9)
   
  8.4%1
   
12.      Type of Reporting Person
   
  CO
   

 

 

1 This percentage is based on 32,763,887 shares of common stock, $0.001 par value per share (the “Common Stock”) of Pyxis Oncology, Inc., a Delaware corporation (the “Issuer”), outstanding as of November 12, 2021, as reported in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2021 (the “Form 10-Q”), as filed with the Securities and Exchange Commission (the “SEC”) on November 15, 2021.

 

 

 

CUSIP No. 747324101          Page 3 of 8 Pages

 

1. Name of Reporting Person
   
  Bayer Aktiengesellschaft
   

2. Check the Appropriate Box if a Member of a Group
     
    (a) ¨
    (b) x
     

3. SEC Use Only
   
   
4. Citizenship or Place of Organization
   
  Germany
   

 

 

 

 

 

Number of

Shares

Beneficially

Owned By

Each Reporting

Person with

 

 

 

 

5.  Sole Voting Power
   
  0
   
6.   Shared Voting Power
   
  2,742,338
   
7.     Sole Dispositive Power
   
  0
   
8.  Shared Dispositive Power
   
  2,742,338

   
9.         Aggregate Amount Beneficially Owned by Each Reporting Person
   
  2,742,338
   
10.       Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
   
  Not Applicable
   
11.       Percent of Class Represented by Amount in Row (9)
   
  8.4%2
   
12.      Type of Reporting Person
   
  HC, CO
   

 

 

2 This percentage is based on 32,763,887 shares of the Issuer’s Common Stock outstanding as of November 12, 2021, as reported in the Issuer's Form 10-Q, as filed with the SEC on November 15, 2021.

 

 

 

CUSIP No. 747324101          Page 4 of 8 Pages

 

Item 1(a)Name of Issuer

 

Pyxis Oncology, Inc. (the “Issuer”)

 

Item 1(b)Address of Issuer’s Principal Executive Offices

 

35 Cambridge Park Drive, Cambridge, Massachusetts 02140

 

Item 2(a)Name of Person Filing

 

This Schedule 13G is being jointly filed by Bayer World Investments B.V. (“BWI”) and Bayer Aktiengesellschaft (“Bayer”) (collectively, the “Reporting Persons”).

 

Item 2(b)Address of Principal Business Office, or if none, Residence

 

The business address for BWI is Energieweg 1, Mijdrecht, The Netherlands 3641RG.

 

The business address for Bayer is Bayerwerk, Gebaeude W11, Kaiser-Wilhelm-Allee 1, Leverkusen, Germany 51373.

 

Item 2(c)Citizenship

 

The Reporting Persons are citizens of:

 

BWI — The Netherlands

Bayer — Germany

 

Item 2(d)Title of Class of Securities

 

Common Stock, par value $0.001 per share (“Common Stock”)

 

Item 2(e)CUSIP Number

 

747324101

 

Item 3.Filing pursuant to Rules 13d-1(b) or 13d-2(b) or (c)

 

Not Applicable

 

Item 4.Ownership

 

(a)            BWI is the direct beneficial owner of an aggregate of 2,742,338 shares of Common Stock, which represents 8.4% of the Issuer’s outstanding Common Stock based upon 32,763,887 shares outstanding on November 12, 2021 as reported by the Issuer in its Form 10-Q as filed with the SEC on November 15, 2021.

 

 

 

CUSIP No. 747324101          Page 5 of 8 Pages

 

BWI is an indirect, wholly owned subsidiary of Bayer. Accordingly, Bayer may be deemed to be an indirect beneficial owner of the shares of Common Stock beneficially owned directly by BWI.

 

(b)Percent of class:

 

BWI — 8.4%

Bayer — 8.4%

 

(c)Number of shares as to which such person has:

 

(i) Sole power to vote or to direct the vote: 0

 

(ii) Shared power to vote or to direct the vote:

 

BWI — 2,742,338

Bayer — 2,742,338

 

(iii) Sole power to dispose or to direct the disposition of: 0

 

(iv) Shared power to dispose or to direct the disposition of:

 

BWI — 2,742,338

Bayer — 2,742,338

 

Item 5.Ownership of Five Percent or Less of a Class

 

Not Applicable

 

Item 6.Ownership of More than Five Percent on Behalf of Another Person

 

Not Applicable

 

Item 7.Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

 

Not Applicable

 

Item 8.Identification and Classification of Members of the Group

 

Not Applicable

 

Item 9.Notice of Dissolution of Group

 

Not Applicable

 

 

 

CUSIP No. 747324101          Page 6 of 8 Pages

 

Item 10.Certification

 

By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.

 

 

 

CUSIP No. 747324101          Page 7 of 8 Pages

 

SIGNATURES

 

After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

Date: February 11, 2022

 

  BAYER WORLD INVESTMENTS B.V.
     
  By:

/s/ Patrick Lennaerts

    Patrick Lennaerts. Managing Director

 

  BAYER AKTIENGESELLSCHAFT
     
  By:

/s/ Deny-Jean Silny

    Deny-Jean Silny, Head of Legal Mergers & Acquisitions

 

 

 

CUSIP No. 747324101          Page 8 of 8 Pages

 

EXHIBIT INDEX

 

A.            Joint Filing Agreement, dated February 11, 2022, by and between Bayer World Investments B.V. and Bayer Aktiengesellschaft.

 

 

 

EXHIBIT A

 

JOINT FILING AGREEMENT

 

The undersigned hereby agree to jointly prepare and file with the United States Securities and Exchange Commission this Schedule 13G and any future amendments hereto (including amendments on Schedule 13D or Schedule 13G, as applicable) reporting each of the undersigned’s ownership of securities of Pyxis Oncology, Inc., and hereby affirm that such Schedule 13G is being filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the other, except to the extent that it knows or has reason to believe that such information is inaccurate.

 

Date: February 11, 2022

 

  BAYER WORLD INVESTMENTS B.V.
   
  By: /s/ Patrick Lennaerts
    Patrick Lennaerts. Managing Director
   
  BAYER AKTIENGESELLSCHAFT
   
  By: /s/ Deny-Jean Silny
    Deny-Jean Silny, Head of Legal Mergers & Acquisitions