Filing Details
- Accession Number:
- 0001209191-16-119312
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-05-11 18:57:53
- Reporting Period:
- 2016-05-11
- Filing Date:
- 2016-05-11
- Accepted Time:
- 2016-05-11 18:57:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1652130 | Intellia Therapeutics Inc. | NTLA | Pharmaceutical Preparations (2834) | V8 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1114448 | Ag Novartis | Lichtstrasse 35 Basel V8 CH4056 | No | No | Yes | No | |
| 1673852 | Novartis Institutes For Biomedical Research, Inc. | 250 Massachusetts Avenue Cambridge MA 02139 | No | No | Yes | 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 | 2016-05-11 | 3,079,001 | $0.00 | 3,079,001 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2016-05-11 | 1,724,240 | $0.00 | 4,803,241 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2016-05-11 | 492,640 | $0.00 | 5,295,881 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2016-05-11 | 277,777 | $18.00 | 5,573,658 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A-1 Preferred Stock | Disposition | 2016-05-11 | 4,761,905 | $0.00 | 3,079,001 | $0.00 |
| Common Stock | Series A-2 Preferred Stock | Disposition | 2016-05-11 | 2,666,666 | $0.00 | 1,724,240 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2016-05-11 | 761,905 | $0.00 | 492,640 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- Each share of Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock was automatically converted into 0.6465903 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration.
- The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG.
- Not applicable.
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