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Filing Details

Accession Number:: 0001209191-21-001712
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-01-05 20:55:19
Reporting Period:: 2020-12-31

Accepted Time:: 2021-01-05 20:55:19
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1652130	Intellia Therapeutics Inc.	NTLA	In Vitro & In Vivo Diagnostic Substances (2835)	364785571

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1671870	E Jose Rivera	C/O Intellia Therapeutics, Inc. 40 Erie Street; Suite 130 Cambridge MA 02139	Evp, General Counsel	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-12-31	4,792	$0.00	54,068	No	4	M	Direct
Common Stock	Disposition	2021-01-05	2,078	$55.86	51,990	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Acquisiton	2020-12-31	9,583	$0.00	9,583	$23.46
Common Stock	Restricted Stock Unit (performance-based)	Acquisiton	2020-12-31	4,792	$0.00	4,792	$0.00
Common Stock	Restricted Stock Unit (performance-based)	Disposition	2020-12-31	4,792	$0.00	4,792	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
9,583	2020-12-31	2028-03-20	No	4	A	Direct
4,792	2020-12-31		No	4	A	Direct
0	2020-12-31		No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	262,210	Indirect	By Trust

Footnotes

Includes 568 shares acquired under the Intellia Therapeutics, Inc. 2016 Employee Stock Purchase Plan on December 31, 2020.
Shares sold in sell-to-cover transaction in order to satisfy withholding taxes to be paid upon the vesting of 4,792 performance-based restricted stock units ("PRSUs") on December 31, 2020.
Shares are held by Rivak Capital LLC ("Rivak"). Mr. Rivera is a member and the general manager of Rivak and has voting and dispositive power over these shares.
On March 21, 2018, the reporting person was granted an option to purchase 28,750 shares of common stock pursuant to the Intellia Therapeutics, Inc. Amended and Restated 2015 Stock Option and Incentive Plan. The award had performance-based vesting, with one-third of the award vesting upon each achievement of three scientific and regulatory milestones through the calendar year 2020 (the "Performance Milestones"). On December 31, 2020, one of the Performance Milestones was achieved, resulting in the vesting of the option as to 9,583 shares.
On March 21, 2018, the reporting person was granted 14,375 PRSUs pursuant to the Intellia Therapeutics, Inc. Amended and Restated 2015 Stock Option and Incentive Plan. Each PRSU represents a contingent right to receive one share of the Company's common stock upon vesting, with one-third of the PRSUs vesting upon each achievement of the Performance Milestones through the calendar year 2020. On December 31, 2020, one of the Performance Milestones was achieved, resulting in the vesting of 4,792 PRSUs.