| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 12/17/2019 | 3. Issuer Name and Ticker or Trading Symbol CATABASIS PHARMACEUTICALS INC [ CATB ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
|---|---|---|---|
| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (Right to Buy) | (1) | 09/07/2021 | Common Stock | 194 | 19.3 | D | |
| Stock Option (Right to Buy) | (1) | 12/18/2022 | Common Stock | 235 | 23.1 | D | |
| Stock Option (Right to Buy) | (1) | 12/18/2022 | Common Stock | 51 | 23.1 | D | |
| Stock Option (Right to Buy) | (1) | 12/18/2022 | Common Stock | 74 | 23.1 | D | |
| Stock Option (Right to Buy) | (1) | 04/17/2023 | Common Stock | 114 | 23.1 | D | |
| Stock Option (Right to Buy) | (1) | 03/19/2024 | Common Stock | 583 | 68.1 | D | |
| Stock Option (Right to Buy) | (1) | 02/12/2025 | Common Stock | 233 | 95.1 | D | |
| Stock Option (Right to Buy) | (1) | 03/25/2025 | Common Stock | 261 | 110.5 | D | |
| Stock Option (Right to Buy) | (2) | 02/10/2026 | Common Stock | 700 | 45.7 | D | |
| Stock Option (Right to Buy) | (3) | 09/07/2026 | Common Stock | 2,500 | 43.1 | D | |
| Stock Option (Right to Buy) | (4) | 02/08/2027 | Common Stock | 2,000 | 12.4 | D | |
| Stock Option (Right to Buy) | (5) | 07/26/2027 | Common Stock | 500 | 12.7 | D | |
| Stock Option (Right to Buy) | (6) | 02/07/2028 | Common Stock | 2,500 | 12.8 | D | |
| Stock Option (Right to Buy) | (7) | 09/06/2028 | Common Stock | 5,000 | 7.1 | D | |
| Stock Option (Right to Buy) | (8) | 02/12/2029 | Common Stock | 20,000 | 4.39 | D | |
| Explanation of Responses: |
| 1. Fully vested. |
| 2. This option was granted on February 11, 2016 and is subject to vesting over a four-year period, with 25% of the 700 shares underlying the option upon grant vesting on the first anniversary of February 11, 2016 and the remainder vesting over the ensuing three years in equal monthly installments. |
| 3. This option was granted on September 8, 2016 and is subject to vesting over a four-year period, with 25% of the 2,500 shares underlying the option upon grant vesting on the first anniversary of September 8, 2016 and the remainder vesting over the ensuing three years in equal monthly installments. |
| 4. This option was granted on February 9, 2017 and is subject to vesting over a four-year period, with 25% of the 2,000 shares underlying the option upon grant vesting on the first anniversary of February 9, 2017 and the remainder vesting over the ensuing three years in equal monthly installments. |
| 5. This option was granted on July 27, 2017 and is subject to vesting over a four-year period, with 25% of the 500 shares underlying the option upon grant vesting on the first anniversary of July 27, 2017 and the remainder vesting over the ensuing three years in equal monthly installments. |
| 6. This option was granted on February 8, 2018 and is subject to vesting over a four-year period, with 25% of the 2,500 shares underlying the option upon grant vesting on the first anniversary of February 8, 2018 and the remainder vesting over the ensuing three years in equal monthly installments. |
| 7. This option was granted on September 7, 2018 and is subject to vesting over a two-year period, with 50% of the 5,000 shares underlying the option upon grant vesting on the first anniversary of September 7, 2018 and the remainder vesting over the ensuing one year in equal monthly installments. |
| 8. This option was granted on February 13, 2019 and is subject to vesting over a four-year period, with 25% of the 20,000 shares underlying the option upon grant vesting on the first anniversary of February 13, 2019 and the remainder vesting over the ensuing three years in equal monthly installments. |
| Remarks: |
| Exhibit 24 - Power of Attorney. |
| /s/ Noah Clauser | 12/19/2019 | |
| ** 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 5 (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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
