Filing Details
- Accession Number:
- 0001209191-21-070797
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-12-21 17:23:26
- Reporting Period:
- 2021-12-20
- Accepted Time:
- 2021-12-21 17:23:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1619856 | Caribou Biosciences Inc. | CRBU | Biological Products, (No Disgnostic Substances) (2836) | 453728228 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1871155 | Ryan Fischesser | C/O Caribou Biosciences, Inc. 2929 7Th Street, Suite 105 Berkeley CA 94710 | Vp Of Finance And Controller | 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 | 2021-12-20 | 1,136 | $2.69 | 101,695 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option to purchase Common Stock | Disposition | 2021-12-20 | 1,136 | $0.00 | 1,136 | $2.69 |
| Common Stock | Option to purchase Common Stock | Acquisiton | 2021-12-20 | 40,000 | $0.00 | 40,000 | $15.16 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,384 | 2029-03-18 | No | 4 | X | Direct | |
| 40,000 | 2031-12-19 | No | 4 | A | Direct |
Footnotes
- These shares were acquired pursuant to the exercise of a stock option, as reported in Table II below.
- The exercise price for this stock option was incorrectly reported as $2.68 per share on the reporting person's Form 3 filed on July 23, 2021.
- The shares subject to this option have vested or will vest in equal monthly installments until the option is fully vested on January 1, 2023, subject to the reporting person's continued service to the Issuer through the applicable vesting dates.
- The shares subject to this option will vest in equal monthly installments starting on the first monthly anniversary of the grant date until the option is fully vested on December 20, 2025, subject to the reporting person's continued service to the Issuer through the applicable vesting dates.
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