Form 4 for CRBU Caribou Biosciences, Inc.
Accepted 2022-10-07 00:00:00 ET · period of report 2022-10-06 · accession 0001619856-22-000003 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-10-07 | 2022-10-06 | CRBU | Fischesser Ryan | VP of Fin, Ctrl | M - OptEx | $3.40 | +5,678 | 116.0K | +5% | +$19.3K |
| D | 2022-10-07 | 2022-10-06 | CRBU | Fischesser Ryan | VP of Fin, Ctrl | S - Sale+OE | $10.80 | -10.0K | 110.4K | -8% | -$108.0K |
| DM | 2022-10-07 | 2022-10-06 | CRBU | Fischesser Ryan | VP of Fin, Ctrl | M - OptEx | $0.00 | -5,678 | 1,704 | -77% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-10-06 | M | A | 2,839 | $2.69 | 113,205 | D | — | — | (F2) Includes 4,848 shares represented by restricted stock units ("RSUs") that vest in two equal annual installments beginning on August 22, 2023, subject to the reporting person's continued service to the Issuer through the applicable vesting dates. |
| 2 | Common | Common Stock | 2022-10-06 | M | A | 2,839 | $4.11 | 116,044 | D | — | — | (F2) Includes 4,848 shares represented by restricted stock units ("RSUs") that vest in two equal annual installments beginning on August 22, 2023, subject to the reporting person's continued service to the Issuer through the applicable vesting dates. |
| 3 | Common | Common Stock | 2022-10-06 | S | D | 10,000 | $10.80 | 110,366 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.67 to $10.94, inclusive. The reporting person undertakes to provide to Caribou Biosciences, Inc., any security holder of Caribou Biosciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4. (F2) Includes 4,848 shares represented by restricted stock units ("RSUs") that vest in two equal annual installments beginning on August 22, 2023, subject to the reporting person's continued service to the Issuer through the applicable vesting dates. |
| 4 | Derivative | Option to purchase Common Stock | 2022-10-06 | M | D | 2,839 | $0.00 | 15,337 | D | $4.11 · — to 2031-03-29 | 2,839 Common Stock | (F4) 1/4th of the shares subject to this option vested on January 1, 2022 and an additional 1/48th of the aggregate number of shares subject to the option have vested or will vest on the corresponding day of each month thereafter until the option is fully vested on January 1, 2025, subject to the reporting person's continued service to the Issuer through the applicable vesting dates. |
| 5 | Derivative | Option to purchase Common Stock | 2022-10-06 | M | D | 2,839 | $0.00 | 1,704 | D | $2.69 · — to 2029-03-18 | 2,839 Common Stock | (F3) 1/4th of the shares subject to this option vested on January 1, 2020 and an additional 1/48th of the aggregate number of shares subject to the option have vested or will vest on the corresponding day of each month thereafter 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. |