Barbara G. Mcclung - Oct 20, 2021 Form 4 Insider Report for Caribou Biosciences, Inc. (CRBU)

Role
Chief Legal Officer
Signature
/s/ Rachel E. Haurwitz, as attorney-in-fact
Stock symbol
CRBU
Transactions as of
Oct 20, 2021
Transactions value $
$24,799
Form type
4
Date filed
10/21/2021, 06:12 PM
Previous filing
Jul 22, 2021
Next filing
Dec 8, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CRBU Common Stock Purchase $24.7K +9.18K +2.75% $2.69 343K Oct 20, 2021 Direct F1, F2, F3
transaction CRBU Common Stock Purchase $116 +43 +0.01% $2.69 343K Oct 20, 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 -9.18K -10.18% $0.00 81K Oct 20, 2021 Common Stock 9.18K $2.69 Direct F2, F4
transaction CRBU Option to purchase Common Stock Exercise of in-the-money or at-the-money derivative security $0 -43 -32.58% $0.00 89 Oct 20, 2021 Common Stock 43 $2.69 Direct F2, F5
* 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 The amount of securities beneficially owned was incorrectly reported as 333,626 shares on the reporting person's Form 3 filed on July 22, 2021. The correct number is 333,625.
F4 The shares subject to this option have vested or will vest in equal monthly installments until the option is fully vested on October 1, 2023, subject to the reporting person's continued service to the Issuer through the applicable vesting dates.
F5 The shares subject to this option have vested or will vest in equal monthly installments until the option is fully vested on June 12, 2022, subject to the reporting person's continued service to the Issuer through the applicable vesting dates.