Statement of Changes in Beneficial Ownership (4)
19 December 2020 - 8:29AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
KARSEN PERRY A |
2. Issuer Name and Ticker or Trading Symbol
Intellia Therapeutics, Inc.
[
NTLA
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O INTELLIA THERAPEUTICS, INC., 40 ERIE STREET; SUITE 130 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/17/2020 |
(Street)
CAMBRIDGE, MA 02139
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
Common Stock | 12/17/2020 | | M | | 31764 | A | $18.00 | 36764 | D | |
Common Stock | 12/17/2020 | | M | | 19000 | A | $14.35 | 55764 | D | |
Common Stock | 12/17/2020 | | M | | 19000 | A | $25.98 | 74764 | D | |
Common Stock | 12/17/2020 | | M | | 19000 | A | $15.78 | 93764 | D | |
Common Stock | 12/17/2020 | | S(1) | | 21978 | D | $52.52 (2) | 71786 | D | |
Common Stock | 12/17/2020 | | S(1) | | 45450 | D | $53.69 (3) | 26336 | D | |
Common Stock | 12/17/2020 | | S(1) | | 21336 | D | $54.33 (4) | 5000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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) | $18.00 | 12/17/2020 | | M | | | 31764 | (5) | 5/4/2026 | Common Stock | 31764 | $0.00 | 0 | D | |
Stock Option (right to buy) | $14.35 | 12/17/2020 | | M | | | 19000 | (6) | 5/17/2027 | Common Stock | 19000 | $0.00 | 0 | D | |
Stock Option (right to buy) | $25.98 | 12/17/2020 | | M | | | 19000 | (7) | 5/16/2028 | Common Stock | 19000 | $0.00 | 0 | D | |
Stock Option (right to buy) | $15.78 | 12/17/2020 | | M | | | 19000 | (8) | 5/20/2029 | Common Stock | 19000 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | The sales reported on this Form 4 were effected pursuant to a trading plan adopted pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.02 to $53.00, inclusive. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on December 17, 2020 at each separate price. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.09 to $54.08, inclusive. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on December 17, 2020 at each separate price. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.10 to $54.48, inclusive. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on December 17, 2020 at each separate price. |
(5) | The stock option award was issued pursuant to the Intellia Therapeutics, Inc. Amended and Restated 2015 Stock Option and Incentive Plan and vested in full on May 5, 2019. |
(6) | The stock option award was issued pursuant to the Intellia Therapeutics, Inc. Amended and Restated 2015 Stock Option and Incentive Plan and vested in full on May 17, 2018. |
(7) | The stock option award was issued pursuant to the Intellia Therapeutics, Inc. Amended and Restated 2015 Stock Option and Incentive Plan and vested in full on May 17, 2019. |
(8) | The stock option award was issued pursuant to the Intellia Therapeutics, Inc. Amended and Restated 2015 Stock Option and Incentive Plan and vested in full on May 21, 2020. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KARSEN PERRY A C/O INTELLIA THERAPEUTICS, INC. 40 ERIE STREET; SUITE 130 CAMBRIDGE, MA 02139 | X |
|
|
|
Signatures
|
/s/Jose Rivera, Attorney-In-Fact | | 12/18/2020 |
**Signature of Reporting Person | Date |
Intellia Therapeutics (NASDAQ:NTLA)
Historical Stock Chart
From Jun 2024 to Jul 2024
Intellia Therapeutics (NASDAQ:NTLA)
Historical Stock Chart
From Jul 2023 to Jul 2024