| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CBIO | Series Y Preferred Stock | Disposed to Issuer | -895 | -100% | 0 | Aug 31, 2023 | Direct | F1, F2, F3, F4 | ||
| transaction | CBIO | Series Y Preferred Stock | Disposed to Issuer | -5.37K | -100% | 0 | Aug 31, 2023 | Direct | F1, F2, F5, F6 |
| Id | Content |
|---|---|
| F1 | On June 20, 2023, the Company's board of directors (the "Board") declared a dividend of one one-thousandth of a share of Series Y Preferred Stock, par value $0.001 per share (the "Preferred Stock"), for each outstanding share of common stock to common stockholders of record at 5:00 p.m. Eastern Time on June 30, 2023, in a transaction exempt from Section 16 under Rule 16a-9. The shares of Preferred Stock were distributed on June 30, 2023. As a result, the Reporting Person received the shares of Preferred Stock set forth above. The Preferred Stock was not convertible into, or exchangeable for, shares of any other class or series of stock or other securities of the Company. |
| F2 | On August 31, 2023, the Company filed, as approved by the Board, a certificate of elimination with the Secretary of State of the State of Delaware pursuant to which the outstanding shares of the Preferred Stock were eliminated. |
| F3 | These securities are held by GNI Group Ltd. ("GNI Japan"). |
| F4 | GNI Hong Kong Ltd. ("GNI HK") disclaims beneficial ownership of the securities held by GNI Japan for purposes of Rule 16a-1(a)(2), except to the extent of its pecuniary interest therein. |
| F5 | These securities are held by GNI HK. |
| F6 | GNI HK, through GNI Japan-affiliated entities, is a wholly-owned subsidiary of GNI Japan. GNI Japan may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the securities held by GNI HK and, therefore, a "ten percent holder" hereunder. |