Filing Details
- Accession Number:
- 0001209191-21-007637
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-02-03 21:38:12
- Reporting Period:
- 2021-02-01
- Accepted Time:
- 2021-02-03 21:38:12
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-02-01 | 66,000 | $6.83 | 120,068 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-01 | 10,476 | $63.31 | 109,592 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-02-01 | 15,594 | $64.11 | 93,998 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-02-01 | 5,312 | $65.01 | 88,686 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-02-01 | 33,000 | $13.88 | 121,686 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-01 | 6,617 | $63.34 | 115,069 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-02-01 | 8,366 | $64.16 | 106,703 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-02-01 | 2,827 | $65.05 | 103,876 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-02-01 | 10,000 | $14.58 | 113,876 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-01 | 2,326 | $63.44 | 111,550 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-02-01 | 2,386 | $64.18 | 109,164 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-02-01 | 755 | $65.07 | 108,409 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2021-02-01 | 66,000 | $0.00 | 66,000 | $6.83 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-02-01 | 33,000 | $0.00 | 33,000 | $13.88 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-02-01 | 10,000 | $0.00 | 10,000 | $14.58 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 39,117 | 2026-02-02 | No | 4 | M | Direct | |
| 72,000 | 2027-01-05 | No | 4 | M | Direct | |
| 61,000 | 2028-12-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 262,210 | Indirect | See Footnote |
Footnotes
- 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.69 to $63.685, 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 February 1, 2021 at each separate price.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.69 to $64.65, 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 February 1, 2021 at each separate price.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.72 to $65.40, 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 February 1, 2021 at each separate price.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.74 to $63.71, 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 February 1, 2021 at each separate price.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.75 to $64.72, 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 February 1, 2021 at each separate price.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.76 to $65.56, 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 February 1, 2021 at each separate price.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.81 to $63.71, 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 February 1, 2021 at each separate price.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.83 to $64.795, 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 February 1, 2021 at each separate price.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.94 to $65.34, 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 February 1, 2021 at each separate price.
- 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.
- 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 February 3, 2020.
- 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 January 6, 2021.
- The stock option award was issued pursuant to the Intellia Therapeutics, Inc. Amended and Restated 2015 Stock Option and Incentive Plan and had vested as to 36,979 shares as of February 1, 2021.
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