GYRE

SEC source: 0001140361-24-014164 · form4.xml · nonDerivative · entry 2

USMAN NASSIM · CIK 0001206872 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,636

F1 · kind: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted on December 12, 2023.

F2 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $16.07 to $18.69. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001140361-24-014164 · form4.xml · nonDerivative · entry 1

USMAN NASSIM · CIK 0001206872 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 21,636

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001140361-25-000339 · form4.xml · nonDerivative · entry 3

Ma Songjiang · CIK 0001985547 · Director · President

10b5-1 filing: Plan reported

Ownership: Indirect · By Spouse

Disclosed balance after: 2,918,467

F1 · kind: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted on September 13, 2024.

F4 · price: The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $11.73 to $12.27. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001140361-23-054522 · form4.xml · derivative · entry 3

Luo Ying · CIK 0001959160 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 2,262,755

Underlying: Common Stock · 2,262,755 shares

Expires 2030-10-31

F3 · derivative.exercise_price: Beijing Continent terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F3 · derivative.exercise_date: Beijing Continent terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F4 · derivative.exercise_date: These options are vested in full.

F3 · derivative.expiration_date: Beijing Continent terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

SEC source: 0001140361-23-054522 · form4.xml · derivative · entry 2

Luo Ying · CIK 0001959160 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,350,897

Underlying: Common Stock · 3,350,897 shares

Expires 2030-10-31

F3 · derivative.exercise_price: Beijing Continent terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F3 · derivative.exercise_date: Beijing Continent terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F4 · derivative.exercise_date: These options are vested in full.

F3 · derivative.expiration_date: Beijing Continent terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

SEC source: 0001140361-23-054520 · form4.xml · derivative · entry 1

Ye Weiguo · CIK 0001985496 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,665,115

Underlying: Common Stock · 1,665,115 shares

Expires 2030-10-31

F1 · derivative.exercise_price: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F1 · derivative.exercise_date: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F2 · derivative.exercise_date: These options are vested in full.

F1 · derivative.expiration_date: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

SEC source: 0001140361-23-054518 · form4.xml · derivative · entry 1

Ma Songjiang · CIK 0001985547 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,510,047

Underlying: Common Stock · 4,510,047 shares

Expires 2030-10-31

F1 · derivative.exercise_price: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F1 · derivative.exercise_date: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F2 · derivative.exercise_date: These options are vested in full.

F1 · derivative.expiration_date: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

SEC source: 0001140361-23-054516 · form4.xml · derivative · entry 1

Chen Ruoyu · CIK 0001982080 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 578,540

Underlying: Common Stock · 578,540 shares

Expires 2030-10-31

F1 · derivative.exercise_price: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F1 · derivative.exercise_date: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F2 · derivative.exercise_date: These options are vested in full.

F1 · derivative.expiration_date: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

SEC source: 0001140361-23-054511 · form4.xml · derivative · entry 1

Wu Charles C · CIK 0001985621 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,417

Underlying: Common Stock · 170,417 shares

Expires 2030-10-31

F1 · derivative.exercise_price: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F1 · derivative.exercise_date: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

F2 · derivative.exercise_date: These options are vested in full.

F1 · derivative.expiration_date: Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent"), terminated its 2021 Stock Incentive Plan (the "2021 Plan") and each option (a "BC Option") to purchase common shares of Beijing Continent outstanding under the 2021 Plan was terminated and replaced with options granted pursuant to a sub-plan for Chinese participants under the Issuer's 2023 Omnibus Incentive Plan that are substantially similar in all material respects to the BC Options previously outstanding under the 2021 Plan.

SEC source: 0001140361-23-050620 · form4.xml · derivative · entry 1

Luo Ying · CIK 0001959160 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,866

Underlying: Common Stock · 1,866 shares

Expires 2033-10-31

F1 · derivative.exercise_date: These options vest as to one-third on each of the first, second and third anniversaries of October 31, 2023, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0001140361-23-050619 · form4.xml · derivative · entry 2

Eastling Thomas Wilson · CIK 0001958487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,866

Underlying: Common Stock · 1,866 shares

Expires 2033-10-31

F2 · derivative.exercise_date: These options vest as to one-third on each of the first, second and third anniversaries of October 31, 2023, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0001140361-23-050619 · form4.xml · derivative · entry 1

Eastling Thomas Wilson · CIK 0001958487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 314,652

Underlying: Common Stock · 314,652 shares

Expires 2033-10-31

F1 · derivative.exercise_date: These options are vested in full.

SEC source: 0001140361-23-050618 · form4.xml · derivative · entry 1

Parry Renate · CIK 0001982817 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,866

Underlying: Common Stock · 1,866 shares

Expires 2033-10-31

F1 · derivative.exercise_date: These options vest as to one-third on each of the first, second and third anniversaries of October 31, 2023, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0001140361-23-050617 · form4.xml · derivative · entry 1

Chen Ruoyu · CIK 0001982080 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,380

Underlying: Common Stock · 34,380 shares

Expires 2033-10-31

F1 · derivative.exercise_date: These options are vested in full.

SEC source: 0001140361-23-050616 · form4.xml · derivative · entry 2

USMAN NASSIM · CIK 0001206872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,866

Underlying: Common Stock · 1,866 shares

Expires 2033-10-31

F2 · derivative.exercise_date: These options vest as to one-third on each of the first, second and third anniversaries of October 31, 2023, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0001140361-23-050616 · form4.xml · derivative · entry 1

USMAN NASSIM · CIK 0001206872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 341,652

Underlying: Common Stock · 341,652 shares

Expires 2033-10-31

F1 · derivative.exercise_date: These options are vested in full.

SEC source: 0001140361-23-050615 · form4.xml · derivative · entry 1

Ying Han · CIK 0001987630 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,866

Underlying: Common Stock · 1,866 shares

Expires 2033-10-31

F1 · derivative.exercise_date: These options vest as to one-third on each of the first, second and third anniversaries of October 31, 2023, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0001140361-23-050614 · form4.xml · derivative · entry 1

Carmichael Gordon · CIK 0001982077 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,866

Underlying: Common Stock · 1,866 shares

Expires 2033-10-31

F1 · derivative.exercise_date: 1 These options vest as to one-third on each of the first, second and third anniversaries of October 31, 2023, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0001140361-23-054522 · form4.xml · nonDerivative · entry 1

Luo Ying · CIK 0001959160 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 2,840,376

F1 · price: Represents the number of shares of common stock of the Issuer received by the spouse of the Reporting Person in exchange for the shares of Aaring Limited, a company incorporated under the laws of Hong Kong with limited liability, held by the spouse of the Reporting Person pursuant to that certain Business Combination Agreement, dated as of December 26, 2022 and as amended on March 29, 2023 and August 30, 2023 (the "Business Combination Agreement"), by and among Catalyst Biosciences, Inc., a Delaware corporation, GNI USA, Inc., a Delaware corporation, GNI Group Ltd., a company incorporated under the laws of Japan with limited liability,

F2 · price: [cont'd from FN 1] GNI Hong Kong Limited, a company incorporated under the laws of Hong Kong with limited liability, Shanghai Genomics, Inc., a company organized under the laws of the People's Republic of China, the Minority Holders (as defined therein) and Continent Pharmaceuticals Inc., a Cayman Islands company limited by shares. Pursuant to the terms of the Business Combination Agreement, on October 30, 2023, the Issuer acquired an indirect controlling interest in Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China ("Beijing Continent").

SEC source: 0001140361-23-054514 · form4.xml · nonDerivative · entry 1

GNI Group Ltd. · CIK 0001958461 · 10% owner

GNI USA, Inc. · CIK 0001973229 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Remarks

Disclosed balance after: 64,005,887

F1 · price: Represents the number of shares of common stock of the Issuer received by the Reporting Person in exchange for the shares of Continent Pharmaceuticals Inc., a Cayman Islands company limited by shares ("CPI") and Further Challenger International Limited, a company incorporated and existing under the laws of the British Virgin Islands with company number 1982271, held by the Reporting Person pursuant to that certain Business Combination Agreement, dated as of December 26, 2022 and as amended on March 29, 2023 and August 30, 2023 (the "Business Combination Agreement"), by and among Catalyst Biosciences, Inc., a Delaware corporation,

F2 · price: [cont'd from FN 1] GNI USA, Inc., a Delaware corporation ("GNI USA"), the Reporting Person, GNI Hong Kong Limited, a company incorporated under the laws of Hong Kong with limited liability, Shanghai Genomics, Inc., a company organized under the laws of the People's Republic of China, the Minority Holders (as defined therein) and CPI. Pursuant to the terms of the Business Combination Agreement, on October 30, 2023, the Issuer acquired an indirect controlling interest in Beijing Continent Pharmaceuticals Co., Ltd, a company organized under the laws of the People's Republic of China.

F3 · ownership.nature: These securities are held by GNI USA which is a wholly-owned subsidiary of GNI Group Ltd., a company incorporated under the laws of Japan with limited liability ("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 USA.

SEC source: 0001140361-23-050019 · form4.xml · derivative · entry 2

GNI Hong Kong Ltd · CIK 0001958509 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 105,770,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Shares of Series X Convertible Preferred Stock of the Issuer, par value $0.001 per share (the "Preferred Stock"), are convertible into shares of common stock of the Issuer at any time at the option of the holder thereof, based on the Conversion Ratio and subject to certain limitations, including the Beneficial Ownership Limitation (as such terms are defined in the Certificate of Designation for the Preferred Stock filed with the Securities and Exchange Commission as Exhibit 3.1 to the Issuer's Form 8-K filed on December 27, 2022).

F1 · kind: Represents an internal transfer by the Reporting Person, a wholly-owned indirect subsidiary of GNI Group Ltd., a company incorporated under the laws of Japan with limited liability ("GNI Japan"), to GNI Japan, pursuant to the Share Purchase Agreement, dated as of October 27, 2023, by and between the Reporting Person and GNI Japan, in exchange for consideration of $46,624,376.

F2 · price: Shares of Series X Convertible Preferred Stock of the Issuer, par value $0.001 per share (the "Preferred Stock"), are convertible into shares of common stock of the Issuer at any time at the option of the holder thereof, based on the Conversion Ratio and subject to certain limitations, including the Beneficial Ownership Limitation (as such terms are defined in the Certificate of Designation for the Preferred Stock filed with the Securities and Exchange Commission as Exhibit 3.1 to the Issuer's Form 8-K filed on December 27, 2022).

F2 · derivative.exercise_date: Shares of Series X Convertible Preferred Stock of the Issuer, par value $0.001 per share (the "Preferred Stock"), are convertible into shares of common stock of the Issuer at any time at the option of the holder thereof, based on the Conversion Ratio and subject to certain limitations, including the Beneficial Ownership Limitation (as such terms are defined in the Certificate of Designation for the Preferred Stock filed with the Securities and Exchange Commission as Exhibit 3.1 to the Issuer's Form 8-K filed on December 27, 2022).

F2 · derivative.expiration_date: Shares of Series X Convertible Preferred Stock of the Issuer, par value $0.001 per share (the "Preferred Stock"), are convertible into shares of common stock of the Issuer at any time at the option of the holder thereof, based on the Conversion Ratio and subject to certain limitations, including the Beneficial Ownership Limitation (as such terms are defined in the Certificate of Designation for the Preferred Stock filed with the Securities and Exchange Commission as Exhibit 3.1 to the Issuer's Form 8-K filed on December 27, 2022).

SEC source: 0001140361-23-050019 · form4.xml · nonDerivative · entry 1

GNI Hong Kong Ltd · CIK 0001958509 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Represents an internal transfer by the Reporting Person, a wholly-owned indirect subsidiary of GNI Group Ltd., a company incorporated under the laws of Japan with limited liability ("GNI Japan"), to GNI Japan, pursuant to the Share Purchase Agreement, dated as of October 27, 2023, by and between the Reporting Person and GNI Japan, in exchange for consideration of $46,624,376.

F1 · price: Represents an internal transfer by the Reporting Person, a wholly-owned indirect subsidiary of GNI Group Ltd., a company incorporated under the laws of Japan with limited liability ("GNI Japan"), to GNI Japan, pursuant to the Share Purchase Agreement, dated as of October 27, 2023, by and between the Reporting Person and GNI Japan, in exchange for consideration of $46,624,376.

SEC source: 0001140361-23-050569 · form4.xml · derivative · entry 2

GNI Group Ltd. · CIK 0001958461 · 10% owner

GNI USA, Inc. · CIK 0001973229 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 8,110,300

Underlying: Series X Convertible Preferred Stock · 811 shares

Expires 2033-10-30

F4 · derivative.exercise_price: These warrants have an exercise price of $4,915.00 per share of Preferred Stock.

F3 · ownership.nature: These securities are held by GNI USA, Inc., a Delaware corporation ("GNI USA") which is a wholly-owned subsidiary of GNI Group Ltd., a company incorporated under the laws of Japan with limited liability ("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 USA.

SEC source: 0001140361-23-050569 · form4.xml · derivative · entry 1

GNI Group Ltd. · CIK 0001958461 · 10% owner

GNI USA, Inc. · CIK 0001973229 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 13,151

Underlying: Common Stock · 811,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of Series X Convertible Preferred Stock of the Issuer, par value $0.001 per share (the "Preferred Stock"), are convertible into shares of the Issuer's common stock at any time at the option of the holder thereof, based on the Conversion Ratio and subject to certain limitations, including the Beneficial Ownership Limitation (as such terms are defined in the Certificate of Designation for the Preferred Stock filed with the Securities and Exchange Commission as Exhibit 3.1 to the Issuer's Form 8-K filed on December 27, 2022).

F1 · derivative.exercise_date: Shares of Series X Convertible Preferred Stock of the Issuer, par value $0.001 per share (the "Preferred Stock"), are convertible into shares of the Issuer's common stock at any time at the option of the holder thereof, based on the Conversion Ratio and subject to certain limitations, including the Beneficial Ownership Limitation (as such terms are defined in the Certificate of Designation for the Preferred Stock filed with the Securities and Exchange Commission as Exhibit 3.1 to the Issuer's Form 8-K filed on December 27, 2022).

F2 · derivative.expiration_date: The Preferred Stock has no expiration date.

F3 · ownership.nature: These securities are held by GNI USA, Inc., a Delaware corporation ("GNI USA") which is a wholly-owned subsidiary of GNI Group Ltd., a company incorporated under the laws of Japan with limited liability ("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 USA.

SEC source: 0001140361-23-042369 · form4.xml · nonDerivative · entry 1

Miller Seline E. · CIK 0001769866 · SVP Finance; Interim CFO & PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: 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

F2 · shares: 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.

F2 · price: 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.

SEC source: 0001140361-23-042367 · form4.xml · nonDerivative · entry 3

USMAN NASSIM · CIK 0001206872 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Nassim Usman IRA

Disclosed balance after: 0

F1 · shares: 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.

F2 · shares: 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.

F2 · price: 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.

SEC source: 0001140361-23-042367 · form4.xml · nonDerivative · entry 2

USMAN NASSIM · CIK 0001206872 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Usman Family Trust

Disclosed balance after: 0

F1 · shares: 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.

F2 · shares: 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.

F2 · price: 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.

SEC source: 0001140361-23-042367 · form4.xml · nonDerivative · entry 1

USMAN NASSIM · CIK 0001206872 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: 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.

F2 · shares: 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.

F2 · price: 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.

SEC source: 0001140361-23-042368 · form4.xml · nonDerivative · entry 1

Hunt Andrea · CIK 0001720487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: 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.

F2 · shares: 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.

F2 · price: 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.

SEC source: 0001140361-23-042366 · form4.xml · nonDerivative · entry 2

GNI Group Ltd. · CIK 0001958461 · 10% owner

GNI Hong Kong Ltd · CIK 0001958509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: 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.

F2 · shares: 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.

F2 · price: 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.

F5 · ownership.direct: These securities are held by GNI HK.

F6 · ownership.direct: 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.

SEC source: 0001140361-23-042366 · form4.xml · nonDerivative · entry 1

GNI Group Ltd. · CIK 0001958461 · 10% owner

GNI Hong Kong Ltd · CIK 0001958509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: 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.

F2 · shares: 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.

F2 · price: 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.

F3 · ownership.direct: These securities are held by GNI Group Ltd. ("GNI Japan").

F4 · ownership.direct: 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.

SEC source: 0001140361-23-042365 · form4.xml · nonDerivative · entry 2

LAWLOR AUGUSTINE · CIK 0001262327 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Lawlor Family Trust UAD 4-17-00

Disclosed balance after: 0

F1 · shares: 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.

F2 · shares: 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.

F2 · price: 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.

SEC source: 0001140361-23-042365 · form4.xml · nonDerivative · entry 1

LAWLOR AUGUSTINE · CIK 0001262327 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: 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.

F2 · shares: 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.

F2 · price: 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.

SEC source: 0001209191-22-045256 · doc4.xml · nonDerivative · entry 1

USMAN NASSIM · CIK 0001206872 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,541

F1 · shares: Shares purchased under the Issuer's 2018 Employee Stock Purchase Plan on August 9, 2022.

SEC source: 0001209191-22-045254 · doc4.xml · nonDerivative · entry 1

Miller Seline E. · CIK 0001769866 · SVP Finance; Interim CFO & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

F1 · shares: Shares purchased under the Issuer's 2018 Employee Stock Purchase Plan on August 9, 2022.

SEC source: 0001209191-22-045251 · doc4.xml · nonDerivative · entry 1

Blouse Grant E. · CIK 0001869883 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,417

F1 · shares: Shares purchased under the Issuer's 2018 Employee Stock Purchase Plan on August 9, 2022.

SEC source: 0001209191-22-012159 · doc4.xml · derivative · entry 1

Miller Seline E. · CIK 0001769866 · SVP Finance; Interim CFO & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,500

Underlying: Common Stock · 107,500 shares

Expires 2032-02-11

F1 · derivative.exercise_date: 1/4 of the shares subject to the option will vest on the one-year anniversary of the vesting commencement date of February 11, 2022, and 1/48 of the shares subject to the option will vest on each monthly anniversary of the vesting commencement date thereafter.

SEC source: 0001209191-22-012156 · doc4.xml · derivative · entry 1

Blouse Grant E. · CIK 0001869883 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2032-02-11

F1 · derivative.exercise_date: 1/4 of the shares subject to the option will vest on the one-year anniversary of the vesting commencement date of February 11, 2022, and 1/48 of the shares subject to the option will vest on each monthly anniversary of the vesting commencement date thereafter.

SEC source: 0001209191-22-010407 · doc4.xml · nonDerivative · entry 1

USMAN NASSIM · CIK 0001206872 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,291

F1 · shares: Shares purchased under the Issuer's 2018 Employee Stock Purchase Plan on February 9, 2022.

SEC source: 0001209191-22-010403 · doc4.xml · nonDerivative · entry 1

Miller Seline E. · CIK 0001769866 · SVP Finance; Interim CFO & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,250

F1 · shares: Shares purchased under the Issuer's 2018 Employee Stock Purchase Plan on February 9, 2022.

SEC source: 0001209191-22-010392 · doc4.xml · nonDerivative · entry 1

Blouse Grant E. · CIK 0001869883 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,167

F1 · shares: Shares purchased under the Issuer's 2018 Employee Stock Purchase Plan on February 9, 2022.

SEC source: 0001209191-22-002488 · doc4.xml · nonDerivative · entry 1

Williams Eddie · CIK 0001725276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,804

F1 · shares: Represents shares of common stock received in lieu of fees.

SEC source: 0001209191-22-002482 · doc4.xml · nonDerivative · entry 1

Hunt Andrea · CIK 0001720487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,228

F1 · shares: Represents shares of common stock received in lieu of fees.

SEC source: 0001209191-22-002485 · doc4.xml · nonDerivative · entry 1

Ling Geoffrey M.D. · CIK 0001800097 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,790

F1 · shares: Represents shares of common stock received in lieu of fees.

SEC source: 0001209191-21-059436 · doc4.xml · nonDerivative · entry 1

Williams Eddie · CIK 0001725276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,496

F1 · shares: Represents shares of common stock received in lieu of fees.

SEC source: 0001209191-21-059433 · doc4.xml · nonDerivative · entry 1

Ling Geoffrey M.D. · CIK 0001800097 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,935

F1 · shares: Represents shares of common stock received in lieu of fees.

SEC source: 0001209191-21-059429 · doc4.xml · nonDerivative · entry 1

LAWLOR AUGUSTINE · CIK 0001262327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,573

F1 · shares: Represents shares of common stock received in lieu of fees.

SEC source: 0001209191-21-059427 · doc4.xml · nonDerivative · entry 1

Hunt Andrea · CIK 0001720487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,707

F1 · shares: Represents shares of common stock received in lieu of fees.

SEC source: 0001209191-21-059424 · doc4.xml · nonDerivative · entry 1

DESOUZA ERROL B · CIK 0001213895 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,801

F1 · shares: Represents shares of common stock received in lieu of fees.

SEC source: 0001209191-21-055780 · doc4.xml · derivative · entry 1

JEW JEANNE Y · CIK 0001235946 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2031-09-09

F1 · derivative.exercise_date: 1/3 of the shares subject to the option will vest on September 9, 2022, and 1/36 of the shares subject to the option will vest monthly thereafter.