Statement of Changes in Beneficial Ownership (4)
December 21 2021 - 5:38PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Sacks Natalie |
2. Issuer Name and Ticker or Trading Symbol
Caribou Biosciences, Inc.
[
CRBU
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O CARIBOU BIOSCIENCES, INC., 2929 7TH STREET, SUITE 105 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/20/2021 |
(Street)
BERKELEY, CA 94710
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 | $15.16 | 12/20/2021 | | A | | 27500 | | (1) | 12/19/2031 | Common Stock | 27500 | $0.00 | 27500 | D | |
Explanation of Responses: |
(1) | One-twelfth of the shares subject to this option will vest on each monthly anniversary of the grant date such that the option will be fully vested on December 20, 2022, subject to the reporting person continuing to provide service to the Issuer through each such vesting date. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sacks Natalie C/O CARIBOU BIOSCIENCES, INC. 2929 7TH STREET, SUITE 105 BERKELEY, CA 94710 | X |
|
|
|
Signatures
|
/s/ Barbara G. McClung, as attorney-in-fact | | 12/21/2021 |
**Signature of Reporting Person | Date |
Caribou Biosciences (NASDAQ:CRBU)
Historical Stock Chart
From Jun 2024 to Jul 2024
Caribou Biosciences (NASDAQ:CRBU)
Historical Stock Chart
From Jul 2023 to Jul 2024