GNI Group Ltd. - Oct 27, 2023 Form 3 Insider Report for CATALYST BIOSCIENCES, INC. (CBIO)

Role
10%+ Owner
Signature
/s/ Branden Berns, as attorney-in-fact for GNI Group Ltd.
Stock symbol
CBIO
Transactions as of
Oct 27, 2023
Transactions value $
$0
Form type
3
Date filed
10/27/2023, 08:01 PM
Previous filing
Sep 1, 2023
Next filing
Nov 22, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CBIO Common Stock 6.27M Oct 27, 2023 See footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding CBIO Series X Convertible Preferred Stock Oct 27, 2023 Common Stock 123M See footnote F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These securities are held by GNI USA, Inc., a Delaware corporation ("GNI USA"), which is a wholly-owned subsidiary of GNI Group Ltd., a company incorporated under the laws of Japan with limited liability ("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 USA.
F2 Shares of Series X Convertible Preferred Stock of the Issuer, par value $0.001 per share (the "Preferred Stock"), are convertible into shares of the Issuer's common stock at any time at the option of the holder thereof, based on the Conversion Ratio and subject to certain limitations, including the Beneficial Ownership Limitation (as such terms are defined in the Certificate of Designation for the Preferred Stock filed with the Securities and Exchange Commission as Exhibit 3.1 to the Issuer's Form 8-K filed on December 27, 2022).
F3 The Preferred Stock has no expiration date.

Remarks:

Exhibit 24.1 - Power of Attorney