0001140361-23-042366.txt : 20230901 0001140361-23-042366.hdr.sgml : 20230901 20230901160707 ACCESSION NUMBER: 0001140361-23-042366 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230831 FILED AS OF DATE: 20230901 DATE AS OF CHANGE: 20230901 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GNI Group Ltd. CENTRAL INDEX KEY: 0001958461 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51173 FILM NUMBER: 231232548 BUSINESS ADDRESS: STREET 1: NIHONBASHI-HONCHO YS BLDG 3F STREET 2: 2-2-2 NIHONBASHI-HONCHO, CHUO-KU CITY: TOKYO STATE: M0 ZIP: 103-0023 BUSINESS PHONE: 81-3-6214-3600 MAIL ADDRESS: STREET 1: NIHONBASHI-HONCHO YS BLDG 3F STREET 2: 2-2-2 NIHONBASHI-HONCHO, CHUO-KU CITY: TOKYO STATE: M0 ZIP: 103-0023 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GNI Hong Kong Ltd CENTRAL INDEX KEY: 0001958509 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51173 FILM NUMBER: 231232547 BUSINESS ADDRESS: STREET 1: 12/F ELITE CENTRE STREET 2: 22 HUNG TO ROAD CITY: KWUN TONG KL STATE: K3 ZIP: 0000 BUSINESS PHONE: 81-3-6214-3600 MAIL ADDRESS: STREET 1: 12/F ELITE CENTRE STREET 2: 22 HUNG TO ROAD CITY: KWUN TONG KL STATE: K3 ZIP: 0000 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATALYST BIOSCIENCES, INC. CENTRAL INDEX KEY: 0001124105 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 562020050 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 611 GATEWAY BLVD., SUITE 710 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-871-0761 MAIL ADDRESS: STREET 1: 611 GATEWAY BLVD., SUITE 710 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER COMPANY: FORMER CONFORMED NAME: TARGACEPT INC DATE OF NAME CHANGE: 20000919 4 1 form4.xml X0508 4 2023-08-31 0001124105 CATALYST BIOSCIENCES, INC. CBIO 0001958461 GNI Group Ltd. NIHONBASHI-HONCHO YS BLDG 3F 2-2-2 NIHONBASHI-HONCHO, CHUO-KU TOKYO M0 103-0023 JAPAN true 0001958509 GNI Hong Kong Ltd 12/F ELITE CENTRE 22 HUNG TO ROAD KWUN TONG KL K3 HONG KONG true false Series Y Preferred Stock 2023-08-31 4 D 0 895.217 D 0 D Series Y Preferred Stock 2023-08-31 4 D 0 5371.303 D 0 D On June 20, 2023, the Company's board of directors (the "Board") declared a dividend of one one-thousandth of a share of Series Y Preferred Stock, par value $0.001 per share (the "Preferred Stock"), for each outstanding share of common stock to common stockholders of record at 5:00 p.m. Eastern Time on June 30, 2023, in a transaction exempt from Section 16 under Rule 16a-9. The shares of Preferred Stock were distributed on June 30, 2023. As a result, the Reporting Person received the shares of Preferred Stock set forth above. The Preferred Stock was not convertible into, or exchangeable for, shares of any other class or series of stock or other securities of the Company. On August 31, 2023, the Company filed, as approved by the Board, a certificate of elimination with the Secretary of State of the State of Delaware pursuant to which the outstanding shares of the Preferred Stock were eliminated. These securities are held by GNI Group Ltd. ("GNI Japan"). GNI Hong Kong Ltd. ("GNI HK") disclaims beneficial ownership of the securities held by GNI Japan for purposes of Rule 16a-1(a)(2), except to the extent of its pecuniary interest therein. These securities are held by GNI HK. GNI HK, through GNI Japan-affiliated entities, is a wholly-owned subsidiary of 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 HK and, therefore, a "ten percent holder" hereunder. /s/ Branden Berns, as attorney-in-fact for GNI Group Ltd. 2023-09-01 /s/ Branden Berns, as attorney-in-fact for GNI Hong Kong Ltd 2023-09-01