Filing Details
- Accession Number:
- 0001209191-21-060424
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-10-13 19:31:12
- Reporting Period:
- 2021-10-12
- Accepted Time:
- 2021-10-13 19:31:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1871131 | Steven Kanner | 2929 7Th Street, Suite 105 Berkeley CA 94710 | Chief Scientific 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 | 2021-10-12 | 99,548 | $1.81 | 199,719 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2021-10-12 | 698 | $1.81 | 200,417 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2021-10-12 | 14,614 | $2.69 | 215,031 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| 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 | 2021-10-12 | 99,548 | $0.00 | 99,548 | $1.81 |
| Common Stock | Option to purchase Common Stock | Disposition | 2021-10-12 | 698 | $0.00 | 698 | $1.81 |
| Common Stock | Option to purchase Common Stock | Disposition | 2021-10-12 | 14,614 | $0.00 | 14,614 | $2.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 71,840 | 2027-07-11 | No | 4 | X | Direct | |
| 4,879 | 2028-03-07 | No | 4 | X | Direct | |
| 132,134 | 2029-09-30 | No | 4 | X | 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 22, 2021.
- This option became fully exercisable on June 30, 2021.
- 1/4th of the shares subject to this option vested on October 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, subject to the reporting person's continued services to the Issuer through the applicable vesting dates.
Billionaire Hedge Funds
