Statement of Changes in Beneficial Ownership (4)
October 13 2021 - 7:31PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kanner Steven |
2. Issuer Name and Ticker or Trading Symbol
Caribou Biosciences, Inc.
[
CRBU
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Scientific Officer |
(Last)
(First)
(Middle)
2929 7TH STREET, SUITE 105 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/12/2021 |
(Street)
BERKELEY, CA 94710
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 10/12/2021 | | P(1) | | 99548 | A | $1.81 | 199719 | D | |
Common Stock | 10/12/2021 | | P(1) | | 698 | A | $1.81 | 200417 | D | |
Common Stock | 10/12/2021 | | P(1) | | 14614 | A | $2.69 (2) | 215031 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option to purchase Common Stock | $1.81 | 10/12/2021 | | X | | | 99548 | (3) | 7/11/2027 | Common Stock | 99548 | $0.00 | 71840 | D | |
Option to purchase Common Stock | $1.81 | 10/12/2021 | | X | | | 698 | (3) | 3/7/2028 | Common Stock | 698 | $0.00 | 4879 | D | |
Option to purchase Common Stock | $2.69 (2) | 10/12/2021 | | X | | | 14614 | (4) | 9/30/2029 | Common Stock | 14614 | $0.00 | 132134 | D | |
Explanation of Responses: |
(1) | These shares were acquired pursuant to the exercise of a stock option, as reported in Table II below. |
(2) | 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. |
(3) | This option became fully exercisable on June 30, 2021. |
(4) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kanner Steven 2929 7TH STREET, SUITE 105 BERKELEY, CA 94710 |
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| Chief Scientific Officer |
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Signatures
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/s/ Barbara G. McClung, as attorney-in-fact | | 10/13/2021 |
**Signature of Reporting Person | Date |
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