SEC Form 4 · accession 0000905718-18-000518

CRISPR Therapeutics AG · CRSP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Table I — non-derivative securities

Table II — derivative securities

Explanation of responses

• F1Kurt von Emster's (the "Reporting Person") pecuniary interest in Abingworth Bioventures VI LP's ("ABV VI") May 11, 2018 and May 14, 2018 sales of common stock of CRISPR Therapeutics AG ("Issuer") reported herein were matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of Reporting Person's pecuniary interest in Abingworth BioEquities Master Fund Limited's ("ABE") January 5, 2018 purchase of 65,934 shares of common stock of Issuer at a price of $22.75 per share. The Reporting Person has agreed to pay to Issuer the full amount of the Reporting Person's pecuniary interest in the profit realized in connection with the short-swing transactions, less transaction costs (rounded to the nearest dollar).
• F10The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.38 to $54.37 per share, inclusive.
• F11The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.38 to $53.37 per share, inclusive.
• F12The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.00 to $52.37 per share, inclusive.
• F13The Reporting Person undertakes to provide to Issuer any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.
• F2Shares are held by ABV VI. Abingworth LLP is the investment manager of ABV VI and has been delegated with all investment and dispositive power over the securities held by ABV VI. Reporting Person is a member of the investment committee of Abingworth LLP, which approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the shares held by ABV VI.
• F3From time to time, the investment committee may delegate investment and voting authority over certain securities held by ABV VI and ABE to employees of Abingworth subject to the supervision and oversight of the investment committee, including any limits on such authority imposed by the investment committee in its discretion and the right of the investment committee to revoke such authority at any time. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.
• F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.95 to $53.94 per share, inclusive.
• F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.95 to $52.94 per share, inclusive.
• F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.45 to $51.94 per share, inclusive.
• F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.38 to $57.37 per share, inclusive.
• F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.37 to $56.37 per share, inclusive.
• F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.39 to $55.37 per share, inclusive.