false 0001124105 0001124105 2021-08-15 2021-08-15





Washington, D.C. 20549







Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): August 15, 2021




(Exact name of registrant as specified in its charter)




Delaware   000-51173   56-2020050

(State or other jurisdiction

of incorporation)



File Number)


(IRS Employer

Identification No.)


611 Gateway Blvd, Suite 710, South San Francisco, CA 94080
(Address of principal executive offices)

(650) 871-0761

(Registrant’s telephone number, including area code)

Not Applicable

(Former name or former address, if changed since last report.)



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:



Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)



Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)



Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))



Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:


Title of each class





Name of each exchange

on which registered

Common Stock   CBIO   Nasdaq

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐




Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On July 14, 2021, Catalyst Biosciences, Inc. (“Catalyst”) announced that Howard Levy, M.B.B.Ch, Ph.D., M.M.M. its Chief Medical Officer plans to retire effective August 15, 2021 and that he would provide consulting services to the Company on its hemophilia programs.

On August 15, 2021, Catalyst and Dr. Levy entered into a consulting agreement (the “Consulting Agreement”) pursuant to which Dr. Levy agreed to serve as a consultant to Catalyst until September 30, 2022, unless terminated earlier as set forth in the Consulting Agreement. During the term of the Consulting Agreement, Dr. Levy will be paid a customary hourly rate for services provided. Vested options as of August 15, 2021 will continue to be exercisable until 90 days after the termination of the Consulting Agreement.

The foregoing description of the Consulting Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Consulting Agreement, a copy of which is filed as Exhibit 10.1 to this Current Report on Form 8-K and is incorporated herein by reference.


Item 9.01

Financial Statements and Exhibits.

(d) Exhibits





10.1    Consulting Agreement between Howard Levy and Catalyst Biosciences, Inc., dated August 15, 2021.
104    Cover Page Interactive Data File (embedded within the Inline XBRL document).


Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Date: August 16, 2021      

/s/ Clinton Musil

      Clinton Musil
      Chief Financial Officer
Catalyst Biosciences (NASDAQ:CBIO)
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