Ryan Fischesser - 11 Jan 2022 Form 4 Insider Report for Caribou Biosciences, Inc. (CRBU)

Role
VP of Finance and Controller
Signature
/s/ Barbara G. McClung, as attorney-in-fact
Issuer symbol
CRBU
Transactions as of
11 Jan 2022
Net transactions value
+$29,553
Form type
4
Filing time
12 Jan 2022, 15:35:21 UTC
Previous filing
21 Dec 2021
Next filing
17 Mar 2022
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 $1,531 +569 +0.56% $2.69 102,264 11 Jan 2022 Direct F1
transaction CRBU Common Stock Purchase $28,022 +6,818 +6.7% $4.11 109,082 11 Jan 2022 Direct F1

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 -569 -7.7% $0.000000 6,815 11 Jan 2022 Common Stock 569 $2.69 Direct F2, F3
transaction CRBU Option to purchase Common Stock Exercise of in-the-money or at-the-money derivative security $0 -6,818 -25% $0.000000 20,452 11 Jan 2022 Common Stock 6,818 $4.11 Direct 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 23, 2021.
F3 The shares subject to this option have vested or will vest in equal monthly installments until the option is fully vested on January 1, 2023, subject to the reporting person's continued service to the Issuer through the applicable vesting dates.
F4 1/4th of the shares subject to this option vested on January 1, 2022 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.