SEC Form 3 · accession 0001209191-16-117940
Intellia Therapeutics, Inc. · NTLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sapna Srivastava
Officer — Chief Financial & Stategy Offr
Period of report
May 5, 2016
Accepted (ET)
May 5, 2016 · 6:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001652130
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 159,031 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $6.83 | holding | — | — | — | — | Feb 2, 2026 | Common Stock | 132,520 | — | D |
Explanation of responses
- F1Restricted stock owned by Sapna Srivastava and issued pursuant to an equity award agreement between the Issuer and Dr. Srivastava. 25% of the shares vested on April 6, 2016, and the remainder are vesting in substantially equal monthly installments at the end of each month thereafter, through April 30, 2019.
- F2This option was granted on February 3, 2016 with respect to 132,520 shares of Common Stock, with 25% vesting on February 3, 2017 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.