Rachel E. Haurwitz - Jan 26, 2022 Form 4/A - Amendment Insider Report for Caribou Biosciences, Inc. (CRBU)

Signature
/s/ Barbara G. McClung, at attorney-in-fact
Stock symbol
CRBU
Transactions as of
Jan 26, 2022
Transactions value $
$29,600
Form type
4/A - Amendment
Date filed
5/10/2022, 07:29 PM
Date Of Original Report
Jan 27, 2022
Previous filing
Feb 9, 2022
Next filing
May 10, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CRBU Common Stock Options Exercise $29.6K +10K $2.96 10K Jan 26, 2022 Direct F1, F2
holding CRBU Common Stock 3.35M Jan 26, 2022 by Trust F2, F3

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 Options Exercise $0 -10K -7.33% $0.00 126K Jan 26, 2022 Common Stock 10K $2.96 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Due to a rounding error, the exercise price for this stock option was inadvertently originally reported as $2.95 per share on the reporting person's Form 3 filed on July 22, 2021.
F2 This Form 4/A is being filed to correct an inadvertent error in the original Form 4 filed January 27, 2022 attributing direct ownership of 3,349,395 shares listed in column 5 to the reporting person. As described in a Form 5 filed on February 9, 2022, on September 27, 2021, these 3,349,395 shares were transferred to a trust for which the reporting person and her spouse serve as a Co-Trustees.
F3 Shares are held by The City Canyon Trust Dated May 31, 2021, of which the reporting person is a Co-Trustee with her spouse.
F4 1/4th of the shares subject to this option vested on June 12, 2019 and an additional 1/48th of the aggregate number of shares subject to this option have vested or will vest on the corresponding day of each month thereafter 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.