Initial Statement of Beneficial Ownership (3)
July 15 2021 - 05:14PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Blouse Grant E. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/12/2021
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3. Issuer Name and Ticker or Trading Symbol
CATALYST BIOSCIENCES, INC. [CBIO]
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(Last)
(First)
(Middle)
C/O CATALYST BIOSCIENCES, INC., 611 GATEWAY BOULEVARD, SUITE 710 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Scientific Officer / |
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1754 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | (2) | 7/16/2028 | Common Stock | 30000 | $12.21 | D | |
Stock Option (Right to Buy) | (3) | 7/30/2028 | Common Stock | 10000 | $9.68 | D | |
Stock Option (Right to Buy) | (4) | 1/24/2029 | Common Stock | 18000 | $7.97 | D | |
Stock Option (Right to Buy) | (5) | 1/23/2029 | Common Stock | 35000 | $6.85 | D | |
Stock Option (Right to Buy) | (6) | 2/8/2031 | Common Stock | 38500 | $5.89 | D | |
Stock Option (Right to Buy) | (7) | 6/16/2031 | Common Stock | 25000 | $4.33 | D | |
Explanation of Responses: |
(1) | Includes shares purchased under the Issuer's 2018 Employee Stock Purchase Plan on various dates between February 11, 2019 and February 9, 2021. |
(2) | 25% of the shares subject to the option vested on the one-year anniversary of the vesting commencement date of July 2, 2018, and 1/48 of the shares subject to the option vested or will vest on each monthly anniversary of the vesting commencement date thereafter. |
(3) | 25% of the shares subject to the option vested on the one-year anniversary of the vesting commencement date of July 1, 2018, and 1/48 of the shares subject to the option vested or will vest on each monthly anniversary of the vesting commencement date thereafter. |
(4) | The option vested or will vest over a four (4) year period on each monthly anniversary of the vesting commencement date of January 24, 2019. |
(5) | The option vested or will vest over a four (4) year period on each monthly anniversary of the vesting commencement date of January 23, 2020. |
(6) | 25% of the shares subject to the option will vest on the one-year anniversary of the vesting commencement date of February 8, 2021, and 1/48 of the shares subject to the option will vest on each monthly anniversary of the vesting commencement date thereafter. |
(7) | 25% of the shares subject to the option will vest on the one-year anniversary of the vesting commencement date of June 16, 2021, and 1/48 of the shares subject to the option will vest on each monthly anniversary of the vesting commencement date thereafter. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Blouse Grant E. C/O CATALYST BIOSCIENCES, INC. 611 GATEWAY BOULEVARD, SUITE 710 SOUTH SAN FRANCISCO, CA 94080 |
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| Chief Scientific Officer |
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Signatures
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/s/ Faisal Shawwa Attorney-in-Fact for Grant E. Blouse | | 7/15/2021 |
**Signature of Reporting Person | Date |
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