SEC Form 4 · accession 0001209191-17-064325
CRISPR Therapeutics AG · CRSP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
CELGENE CORP
10% Owner
Period of report
Nov 3, 2017
Accepted (ET)
Dec 7, 2017 · 9:57 am EST
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 StockF1,F2,F3 | Nov 3, 2017 | S | 22,759 | $19.10 | D | 4,812,221 | I | See explanation of responses |
| Common StockF1,F2,F3 | Nov 6, 2017 | S | 79,327 | $18.89 | D | 4,732,894 | I | See explanation of responses |
| Common StockF1,F2,F3 | Nov 7, 2017 | S | 23,000 | $18.54 | D | 4,709,894 | I | See explanation of responses |
| Common StockF1,F2,F3 | Nov 8, 2017 | S | 16,875 | $18.06 | D | 4,693,019 | I | See explanation of responses |
| Common StockF1,F2,F3 | Nov 9, 2017 | S | 20,000 | $17.08 | D | 4,673,019 | I | See explanation of responses |
| Common StockF1,F2,F3 | Nov 10, 2017 | S | 10,000 | $17.28 | D | 4,663,019 | I | See explanation of responses |
| Common StockF1,F2,F3 | Nov 13, 2017 | S | 65,093 | $17.76 | D | 4,597,926 | I | See explanation of responses |
| Common StockF1,F2,F3 | Nov 14, 2017 | S | 14,907 | $17.19 | D | 4,583,019 | I | See explanation of responses |
| Common StockF1,F2,F3 | Nov 15, 2017 | S | 15,000 | $17.67 | D | 4,568,019 | I | See explanation of responses |
| Common StockF4,F2,F3 | Nov 16, 2017 | S | 105,000 | $18.39 | D | 4,463,019 | I | See explanation of responses |
| Common StockF4,F2,F3 | Nov 17, 2017 | S | 51,282 | $18.44 | D | 4,411,737 | I | See explanation of responses |
| Common StockF4,F2,F3 | Nov 20, 2017 | S | 158,718 | $19.02 | D | 4,253,019 | I | See explanation of responses |
| Common StockF4,F2,F3 | Nov 21, 2018 | S | 80,000 | $19.25 | D | 4,173,019 | I | See explanation of responses |
| Common StockF4,F2,F3 | Nov 22, 2017 | S | 256,000 | $19.76 | D | 3,917,019 | I | See explanation of responses |
| Common StockF4,F2,F3 | Nov 24, 2017 | S | 26,010 | $20.00 | D | 3,891,009 | I | See explanation of responses |
| Common StockF4,F2,F3 | Nov 27, 2017 | S | 27,990 | $19.75 | D | 3,863,019 | I | See explanation of responses |
| Common StockF4,F2,F3 | Nov 28, 2017 | S | 5,080 | $19.22 | D | 3,857,939 | I | See explanation of responses |
| Common StockF4,F2,F3 | Nov 29, 2017 | S | 4,263 | $19.25 | D | 3,853,676 | I | See explanation of responses |
| Common StockF4,F2,F3 | Nov 30, 2017 | S | 12,666 | $19.04 | D | 3,841,010 | I | See explanation of responses |
| Common StockF4,F2,F3 | Dec 1, 2017 | S | 87,991 | $19.10 | D | 3,753,019 | I | See explanation of responses |
| Common StockF4,F2,F3 | Dec 4, 2017 | S | 30,485 | $19.47 | D | 3,722,534 | I | See explanation of responses |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from: $19.00 to $19.30 on 11/3/2017; $18.75 to $19.23 on 11/6/2017; $18.02 to $18.87 on 11/7/2017; $17.93 to $18.35 on 11/8/2017; $17.00 to $17.50 on 11/9/2017; $17.10 to $17.46 on 11/10/2017; $17.50 to $17.99 on 11/13/2017; $17.03 to $17.45 on 11/14/2017; $17.55 to $17.75 on 11/15/2017, inclusive. The reporting person undertakes to provide any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4
- F2These securities are held of record by Celgene Alpine Investment Co. III, LLC, an indirectly wholly-owned subsidiary of Celgene Corporation ("Celgene"). Celgene may be deemed to have voting and investment power over these securities and as a result may be deemed to have beneficial ownership over such securities.
- F3Celgene disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that Celgene is a beneficial owner of such securities for the purpose of Section 16 and the Exchange Act, or for any other purpose.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from: $17.86 to $18.57 on 11/16/2017; $18.30 to $18.65 on 11/17/2017; $18.60 to $19.26 on 11/20/2017; $19.02 to $19.46 on 11/21/2017; $19.20 to $20.01 on 11/22/2017; $19.84 to $20.27 on 11/24/2017; $19.41 to $20.20 on 11/27/2017; $19.00 to $19.76 on 11/28/2017; $19.20 to $19.39 on 11/29/2017; $19.00 to $19.20 on 11/30/2017; $19.02 to $19.22 on 12/1/2017; and $19.20 to 19.64 on 12/4/2017, inclusive. The reporting person undertakes to provide any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.