Filing Details
- Accession Number:
- 0001231321-25-000003
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2025-02-21 20:19:55
- Reporting Period:
- 2025-02-20
- Filing Date:
- 2025-02-21
- Accepted Time:
- 2025-02-21 20:19:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1619856 | Caribou Biosciences Inc. | CRBU | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1231321 | G Barbara Mcclung | C/O Caribou Biosciences, Inc. 2929 7Th Street, Suite 105 Berkeley CA 94710 | Chief Legal Officer | 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 | 2025-02-20 | 37,500 | $0.00 | 447,066 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2025-02-21 | 3,564 | $1.35 | 443,502 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option to purchase Common Stock | Acquisiton | 2025-02-20 | 170,000 | $0.00 | 170,000 | $1.41 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 170,000 | 2035-02-19 | No | 4 | A | Direct |
Footnotes
- This reflects restricted stock units ("RSUs") that vest in four equal annual installments beginning on February 20, 2026, subject to the reporting person's continued services to the Issuer through the applicable vesting dates. The RSUs will besettled in stock within 30 days after each vesting date.
- Reflects the number of shares of common stock that were sold in a "sell to cover" transaction for the sole purpose of satisfying tax withholding obligations in connection with the vesting of RSUs previously granted to the reporting person and does not represent a discretionary trade by the reporting person. This transaction was made pursuant to a Rule 10b5-1 trading plan in the form of a durable sell-to-cover instruction adopted prior to the 2023 amendments to Rule 10b5-1. The trading plan provides for the automatic sale of shares of common stock necessary to satisfy the reporting person's tax withholding obligations incurred in connection with the vesting of RSUs.
- This transaction was executed in multiple trades on 2/21/2025 at prices ranging from $1.32 to $1.35. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the specified range.
- 25% of the options will vest upon the one-year anniversary of the grant date, February 20, 2026, and 1/48th will vest monthly thereafter over the 36-month period following the one-year cliff, subject to the reporting person's continued service tothe Issuer through the applicable vesting dates.
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