SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
SELICK HAROLD E

(Last) (First) (Middle)
260 LITTLEFIELD AVENUE

(Street)
SOUTH SAN FRANCISCO CA 94080

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CATALYST BIOSCIENCES, INC. [ CBIO ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
01/16/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $157.2(1) 01/16/2018 D 197(1) (2) 05/13/2020 Common Stock 197(1) $0.00 0 D
Stock Option (Right to Buy) $157.2 01/16/2018 A 197 01/16/2018 07/11/2020(3) Common Stock 197 $0.00 197 D
Stock Option (Right to Buy) $66(1) 01/16/2018 D 550(1) (2) 10/22/2025 Common Stock 550(1) $0.00 0 D
Stock Option (Right to Buy) $66 01/16/2018 A 550 01/16/2018 07/11/2020(3) Common Stock 550 $0.00 550 D
Stock Option (Right to Buy) $66(1) 01/16/2018 D 450(1) (2) 10/22/2025 Common Stock 450(1) $0.00 0 D
Stock Option (Right to Buy) $66 01/16/2018 A 450 01/16/2018 07/11/2020(3) Common Stock 450 $0.00 450 D
Stock Option (Right to Buy) $28.2(1) 01/16/2018 D 500(1) (2) 06/09/2026 Common Stock 500(1) $0.00 0 D
Stock Option (Right to Buy) $28.2 01/16/2018 A 500 01/16/2018 07/11/2020(3) Common Stock 500 $0.00 500 D
Stock Option (Right to Buy) $4.4 01/16/2018 D 10,000 06/15/2018(2) 07/13/2027 Common Stock 10,000 $0.00 0 D
Stock Option (Right to Buy) $4.4 01/16/2018 A 10,000 01/16/2018 07/11/2020(3) Common Stock 10,000 $0.00 10,000 D
Explanation of Responses:
1. Reflects a fifteen-for-one reverse stock split on February 10, 2017.
2. The option is fully vested and exercisable.
3. The reported transactions involved an amendment to the post-termination exercise period of outstanding options, resulting in the deemed cancellation of the vested options and the grant of replacement fully vested options.
Remarks:
/s/ Faisal Shawwa, Attorney-in-Fact for Harold E. Selick 01/18/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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