SEC Form 4 · accession 0001209191-16-119312
Intellia Therapeutics, Inc. · NTLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
May 11, 2016
Accepted (ET)
May 11, 2016 · 6:57 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,F2 | May 11, 2016 | C | 3,079,001 | — | A | 3,079,001 | D | |
| Common StockF1,F2 | May 11, 2016 | C | 1,724,240 | — | A | 4,803,241 | D | |
| Common StockF1,F2 | May 11, 2016 | C | 492,640 | — | A | 5,295,881 | D | |
| Common StockF2 | May 11, 2016 | P | 277,777 | $18.00 | A | 5,573,658 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-1 Preferred StockF2,F1,F3 | — | May 11, 2016 | C | 4,761,905 | D | — | — | Common Stock | 3,079,001 | 0 | D |
| Series A-2 Preferred StockF2,F1,F3 | — | May 11, 2016 | C | 2,666,666 | D | — | — | Common Stock | 1,724,240 | 0 | D |
| Series B Preferred StockF2,F1,F3 | — | May 11, 2016 | C | 761,905 | D | — | — | Common Stock | 492,640 | 0 | D |
Explanation of responses
- F1Each share of Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock was automatically converted into 0.6465903 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration.
- F2The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG.
- F3Not applicable.