SEC Form 4 · accession 0000903423-16-001321
CRISPR Therapeutics AG · CRSP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simeon George
Director
Period of report
Oct 24, 2016
Accepted (ET)
Oct 26, 2016 · 5:51 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.
- F2These shares are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Simeon J. George (the "Reporting Person") is a Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. The Reporting Person disclaims beneficial ownership of all the shares herein and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his proportionate pecuniary interest therein, if any.
- 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.