Filing Details

Accession Number:
0001209191-21-001712
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-01-05 20:55:19
Reporting Period:
2020-12-31
Accepted Time:
2021-01-05 20:55:19
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 2020-12-31 4,792 $0.00 54,068 No 4 M Direct
Common Stock Disposition 2021-01-05 2,078 $55.86 51,990 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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) Acquisiton 2020-12-31 9,583 $0.00 9,583 $23.46
Common Stock Restricted Stock Unit (performance-based) Acquisiton 2020-12-31 4,792 $0.00 4,792 $0.00
Common Stock Restricted Stock Unit (performance-based) Disposition 2020-12-31 4,792 $0.00 4,792 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
9,583 2020-12-31 2028-03-20 No 4 A Direct
4,792 2020-12-31 No 4 A Direct
0 2020-12-31 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 262,210 Indirect By Trust
Footnotes
  1. Includes 568 shares acquired under the Intellia Therapeutics, Inc. 2016 Employee Stock Purchase Plan on December 31, 2020.
  2. Shares sold in sell-to-cover transaction in order to satisfy withholding taxes to be paid upon the vesting of 4,792 performance-based restricted stock units ("PRSUs") on December 31, 2020.
  3. 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.
  4. On March 21, 2018, the reporting person was granted an option to purchase 28,750 shares of common stock pursuant to the Intellia Therapeutics, Inc. Amended and Restated 2015 Stock Option and Incentive Plan. The award had performance-based vesting, with one-third of the award vesting upon each achievement of three scientific and regulatory milestones through the calendar year 2020 (the "Performance Milestones"). On December 31, 2020, one of the Performance Milestones was achieved, resulting in the vesting of the option as to 9,583 shares.
  5. On March 21, 2018, the reporting person was granted 14,375 PRSUs pursuant to the Intellia Therapeutics, Inc. Amended and Restated 2015 Stock Option and Incentive Plan. Each PRSU represents a contingent right to receive one share of the Company's common stock upon vesting, with one-third of the PRSUs vesting upon each achievement of the Performance Milestones through the calendar year 2020. On December 31, 2020, one of the Performance Milestones was achieved, resulting in the vesting of 4,792 PRSUs.