Statement of Changes in Beneficial Ownership (4)
13 March 2020 - 7:21AM
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
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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
*
Kulkarni Samarth |
2. Issuer Name and Ticker or Trading Symbol
CRISPR Therapeutics AG
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CRSP
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O CRISPR THERAPEUTICS, INC., 610 MAIN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/10/2020 |
(Street)
CAMBRIDGE, MA 02139
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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) | $44.67 | 3/10/2020 | | A | | 142000 | | (1) | 3/10/2030 | Common Shares | 142000 | $0.00 | 142000 | D | |
Restricted Stock Units | (2) | 3/10/2020 | | A | | 35500 | | (3) | (3) | Common Shares | 35500 | $0.00 | 35500 | D | |
Explanation of Responses: |
(1) | This option was granted on March 10, 2020 with respect to 142,000 Common Shares. 100% of the shares will vest in 48 equal monthly installments, with the first vesting date of April 10, 2020. |
(2) | Each restricted stock unit represents a contingent right to receive one share of CRSP Common Shares. |
(3) | This restricted stock unit award was granted on March 10, 2020 with respect to 35,500 Common Shares, with (i) one third of the shares vesting on March 10, 2021, (ii) one third of the shares vesting on March 10, 2022, and (iii) one third of the shares vesting on March 10, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kulkarni Samarth C/O CRISPR THERAPEUTICS, INC. 610 MAIN STREET CAMBRIDGE, MA 02139 | X |
| Chief Executive Officer |
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Signatures
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/s/ Michael Esposito, attorney-in-fact | | 3/12/2020 |
**Signature of Reporting Person | Date |
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