Filing Details
- Accession Number:
- 0001193805-18-000436
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2018-03-21 16:12:21
- Reporting Period:
- 2018-03-06
- Accepted Time:
- 2018-03-21 16:12:21
- Original Submission Date:
- 2018-03-08
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1124105 | Catalyst Biosciences Inc. | CBIO | () | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1009258 | Deerfield Management Company, L.p. (Series C) | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1010823 | L.p. Mgmt Deerfield | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1301041 | Deerfield Partners, L.p. | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1352546 | E James Flynn | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1354395 | Deerfield Special Situations Fund, L.p. | 780 3Rd Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2018-03-06 | 9,544 | $29.94 | 849,763 | No | 4 | S | Indirect | Through Deerfield Partners, L.P. |
Common Stock | Disposition | 2018-03-06 | 3,617 | $29.94 | 322,076 | No | 4 | S | Indirect | Through Deerfield Special Situations Fund, L.P. |
Common Stock | Disposition | 2018-03-06 | 28,498 | $31.18 | 821,265 | No | 4 | S | Indirect | Through Deerfield Partners, L.P. |
Common Stock | Disposition | 2018-03-06 | 10,802 | $31.18 | 311,274 | No | 4 | S | Indirect | Through Deerfield Special Situations Fund, L.P. |
Common Stock | Disposition | 2018-03-07 | 7,252 | $30.00 | 814,013 | No | 4 | S | Indirect | Through Deerfield Partners, L.P. |
Common Stock | Disposition | 2018-03-07 | 2,748 | $30.00 | 308,526 | No | 4 | S | Indirect | Through Deerfield Special Situations Fund, L.P. |
Common Stock | Disposition | 2018-03-08 | 866 | $30.00 | 813,147 | No | 4 | S | Indirect | Through Deerfield Partners, L.P. |
Common Stock | Disposition | 2018-03-08 | 328 | $30.00 | 308,198 | No | 4 | S | Indirect | Through Deerfield Special Situations Fund, L.P. |
Common Stock | Disposition | 2018-03-08 | 5,890 | $29.03 | 807,257 | No | 4 | S | Indirect | Through Deerfield Partners, L.P. |
Common Stock | Disposition | 2018-03-08 | 2,233 | $29.03 | 305,965 | No | 4 | S | Indirect | Through Deerfield Special Situations Fund, L.P. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | Through Deerfield Partners, L.P. |
No | 4 | S | Indirect | Through Deerfield Special Situations Fund, L.P. |
No | 4 | S | Indirect | Through Deerfield Partners, L.P. |
No | 4 | S | Indirect | Through Deerfield Special Situations Fund, L.P. |
No | 4 | S | Indirect | Through Deerfield Partners, L.P. |
No | 4 | S | Indirect | Through Deerfield Special Situations Fund, L.P. |
No | 4 | S | Indirect | Through Deerfield Partners, L.P. |
No | 4 | S | Indirect | Through Deerfield Special Situations Fund, L.P. |
No | 4 | S | Indirect | Through Deerfield Partners, L.P. |
No | 4 | S | Indirect | Through Deerfield Special Situations Fund, L.P. |
Footnotes
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.75 to $30.50, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "Commission"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) of this Form 4.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.00 to $31.21, inclusive.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.00 to $29.75, inclusive.
- This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. and Deerfield Partners, L.P. (the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
- In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
- This Amendment to the Form 4 filed with the Commission on March 8, 2018 (the "Original Filing") is being filed to correctly report the identity of the direct beneficial owners of shares sold on March 6, 2018, March 7, 2018 and March 8, 2018 (as well as the direct holder of shares beneficially owned by the applicable Reporting Persons following such sales) which were incorrectly reported on the March 8, 2018 Form 4 report. The aggregate number of shares sold by the Funds and the aggregate number of shares beneficially owned by the Reporting Persons, as reported in the Original Filing, remains unchanged.