SEC Form 4 · accession 0000903423-16-001320
CRISPR Therapeutics AG · CRSP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
GLAXOSMITHKLINE PLC
10% Owner
Period of report
Oct 24, 2016
Accepted (ET)
Oct 26, 2016 · 5:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001674416
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF3,F2 | Oct 24, 2016 | C | 2,942,560 | — | A | 2,942,560 | I | See explanation of responses |
| Common SharesF3,F2 | Oct 24, 2016 | C | 211,567 | — | A | 3,154,127 | I | See explanation of responses |
| Common SharesF1,F2 | Oct 24, 2016 | P | 66,500 | $14.00 | A | 3,220,627 | I | See explanation of responses |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-3 Preferred SharesF2,F3,F4 | — | Oct 24, 2016 | C | 2,942,560 | D | — | — | Common Shares | 2,942,560 | 0 | I |
| Series B Preferred SharesF2,F3,F4 | — | Oct 24, 2016 | C | 211,567 | D | — | — | Common Shares | 211,567 | 0 | I |
Explanation of responses
- F1On October 24, 2016, S.R. One, Limited ("S.R. One") acquired 66,500 common shares of the Issuer ("Common Shares") at a price of $14.00 per share in connection with the Issuer's initial public offering.
- F2The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
- F3On October 24, 2016, the Series A-3 Preferred Shares and the Series B Preferred Shares converted automatically into Common Shares on a one-for-one basis, upon closing of the Issuer's initial public offering
- F4Not applicable.