Steven Kanner - 12 Oct 2021 Form 4 Insider Report for Caribou Biosciences, Inc. (CRBU)

Role
Chief Scientific Officer
Signature
/s/ Barbara G. McClung, as attorney-in-fact
Issuer symbol
CRBU
Transactions as of
12 Oct 2021
Net transactions value
+$220,757
Form type
4
Filing time
13 Oct 2021, 19:31:12 UTC
Previous filing
22 Jul 2021
Next filing
21 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CRBU Common Stock Purchase $180,182 +99,548 +99% $1.81 199,719 12 Oct 2021 Direct F1
transaction CRBU Common Stock Purchase $1,263 +698 +0.35% $1.81 200,417 12 Oct 2021 Direct F1
transaction CRBU Common Stock Purchase $39,312 +14,614 +7.3% $2.69 215,031 12 Oct 2021 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CRBU Option to purchase Common Stock Exercise of in-the-money or at-the-money derivative security $0 -99,548 -58% $0.000000 71,840 12 Oct 2021 Common Stock 99,548 $1.81 Direct F3
transaction CRBU Option to purchase Common Stock Exercise of in-the-money or at-the-money derivative security $0 -698 -13% $0.000000 4,879 12 Oct 2021 Common Stock 698 $1.81 Direct F3
transaction CRBU Option to purchase Common Stock Exercise of in-the-money or at-the-money derivative security $0 -14,614 -10% $0.000000 132,134 12 Oct 2021 Common Stock 14,614 $2.69 Direct F2, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares were acquired pursuant to the exercise of a stock option, as reported in Table II below.
F2 The exercise price for this stock option was incorrectly reported as $2.68 per share on the reporting person's Form 3 filed on July 22, 2021.
F3 This option became fully exercisable on June 30, 2021.
F4 1/4th of the shares subject to this option vested on October 1, 2020 and an additional 1/48th of the aggregate number of shares subject to the option have vested or will vest on the corresponding day of each month thereafter, subject to the reporting person's continued services to the Issuer through the applicable vesting dates.