CRISPR Therapeutics AG — Director's Dealing 2016

Dec 24, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CRISPR Therapeutics AG (CRSP)
CIK: 0001674416
Period of Report: 2016-10-18

Reporting Person: Woiwode Thomas (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-10-24	Common Stock	C	437247	—	Acquired	676895	Indirect
2016-10-24	Common Stock	C	3100477	—	Acquired	3777372	Indirect
2016-10-24	Common Stock	C	231077	—	Acquired	4008449	Indirect
2016-10-24	Common Stock	P	95596	$14	Acquired	4104045	Indirect
2016-10-24	Common Stock	C	2754	—	Acquired	2754	Indirect
2016-10-24	Common Stock	C	19524	—	Acquired	22278	Indirect
2016-10-24	Common Stock	C	1454	—	Acquired	23732	Indirect
2016-10-24	Common Stock	P	602	$14	Acquired	24334	Indirect
2016-10-24	Common Stock	C	2210417	—	Acquired	2210417	Indirect
2016-10-24	Common Stock	C	173167	—	Acquired	2383584	Indirect
2016-10-24	Common Stock	P	60219	$14	Acquired	2443803	Indirect
2016-10-24	Common Stock	C	66490	—	Acquired	66490	Indirect
2016-10-24	Common Stock	C	5210	—	Acquired	71700	Indirect
2016-10-24	Common Stock	C	168224	—	Acquired	168224	Indirect
2016-10-24	Common Stock	C	13180	—	Acquired	181404	Indirect
2016-10-24	Common Stock	P	4583	$14	Acquired	185987	Indirect
2016-10-24	Common Stock	C	73704	—	Acquired	73704	Indirect
2016-10-24	Common Stock	C	5774	—	Acquired	79478	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-10-18	Stock Option (Right to Buy)	$14	A	30000	Acquired	2026-10-18	Common Stock (30000)	Indirect
2016-10-24	Series A-1 Preferred Shares	$	C	437247	Disposed		Common Stock (437247)	Indirect
2016-10-24	Series A-1 Preferred Shares	$	C	2754	Disposed		Common Stock (2754)	Indirect
2016-10-24	Series A-2 Preferred Shares	$	C	3100477	Disposed		Common Stock (3100477)	Indirect
2016-10-24	Series A-2 Preferred Shares	$	C	19524	Disposed		Common Stock (19524)	Indirect
2016-10-24	Series A-3 Preferred Shares	$	C	2210417	Disposed		Common Stock (2210417)	Indirect
2016-10-24	Series A-3 Preferred Shares	$	C	66490	Disposed		Common Stock (66490)	Indirect
2016-10-24	Series A-3 Preferred Shares	$	C	168224	Disposed		Common Stock (168224)	Indirect
2016-10-24	Series A-3 Preferred Shares	$	C	73704	Disposed		Common Stock (73704)	Indirect
2016-10-24	Series B Preferred Shares	$	C	231077	Disposed		Common Stock (231077)	Indirect
2016-10-24	Series B Preferred Shares	$	C	1454	Disposed		Common Stock (1454)	Indirect
2016-10-24	Series B Preferred Shares	$	C	173167	Disposed		Common Stock (173167)	Indirect
2016-10-24	Series B Preferred Shares	$	C	5210	Disposed		Common Stock (5210)	Indirect
2016-10-24	Series B Preferred Shares	$	C	13180	Disposed		Common Stock (13180)	Indirect
2016-10-24	Series B Preferred Shares	$	C	5774	Disposed		Common Stock (5774)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	684014	Indirect

Footnotes

F1: Each of the Reporting Person and Bradley Bolzon are managing members of Versant Venture Management, LLC. One-half of these shares were issued to the Reporting Person and one-half of these shares were issued to Mr. Bolzon, in each case, as compensation for service on the Issuer's board of directors. Pursuant to agreements with Versant Venture Management, LLC, the Reporting Person and Mr. Bolzon are deemed to hold these securities for the benefit of Versant Venture Management, LLC. Accordingly, Versant Venture Management, LLC may be deemed to be the indirect beneficial owner of these securities, and the Reporting Person may be deemed to indirectly beneficial own the securities through his interest in Versant Venture Management, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F2: Each share of the Issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series A-3 Preferred Stock and Series B Preferred Stock automatically converted into 1 share of the Issuer's Common Stock in its firm commitment initial public offering pursuant to the Issuer's prospectus (Form 424B4) filed with the Securities and Exchange Commission on October 19, 2016.

F3: These securities are held of record by Versant Venture Capital IV, L.P. ("VVC IV"). Versant Ventures IV, LLC ("VV IV") is the sole general partner of VVC IV and may be deemed to have voting and investment power over the securities held by VVC IV and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV IV and may be deemed to indirectly beneficially own the securities through his interest in VV IV. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.

F4: These securities are held of record by Versant Side Fund IV, L.P. ("VSF IV"). VV IV is the sole general partner of VSF IV and may be deemed to have voting and investment power over the securities held by VSF IV and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV IV and may be deemed to indirectly beneficially own the securities through his interest in VV IV. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.

F5: These securities are held of record by Versant Venture Capital V, L.P. ("VVC V"). Versant Ventures V, LLC ("VV V") is the sole general partner of VVC V and may be deemed to have voting and investment power over the securities held by VVC V and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV V and may be deemed to indirectly beneficially own the securities through his interest in VV V. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.

F6: These securities are held of record by Versant Affiliates Fund V, L.P. ("VAF V"). VV V is the sole general partner of VAF V and may be deemed to have voting and investment power over the securities held by VAF V and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV V and may be deemed to indirectly beneficially own the securities through his interest in VV V. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.

F7: These securities are held of record by Versant Venture Capital V (Canada) LP ("VVC CAN"). Versant Ventures V (Canada) GP-GP, Inc. ("VV V CAN GP") is the sole general partner of Versant Ventures V (Canada), L.P. ("VV V CAN") and VV V CAN is the sole general partner of VVC CAN. VV V CAN GP and VV V CAN may be deemed to have voting and investment power over the securities held by VVC CAN and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a director of VV V CAN GP and may be deemed to indirectly beneficially own the shares through his interest in VV V CAN GP. The Reporting Person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any.

F8: These securities are held of record by Versant Ophthalmic Affiliates Fund I, L.P. ("VOA"). VV V is the sole general partner of VOA and may be deemed to have voting and investment power over the securities held by VOA and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV V and may be deemed to indirectly beneficially own the securities through his interest in VV V. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.

F9: The option grant reported hereby was made to Bradley Bolzon as compensation for services on the Issuer's board of directors. One-half of the securities held after the reported transaction, as reported in column 9, are held by the Reporting Person (the grant of which was previously reported by the Reporting Person) and one-half of the reported securities are held by Mr. Bolzon. Pursuant to the agreements described in footnote (1), the Reporting Person and Mr. Bolzon are deemed to hold these securities for the benefit of Versant Venture Management, LLC. Accordingly, Versant Venture Management, LLC may be deemed to be the indirect beneficial owner of these securities, and the Reporting Person may be deemed to indirectly beneficially own the securities through his interest in Versant Venture Management, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F10: This option was granted on October 18, 2016 with respect to 30,000 Common Shares with 100% of the shares vesting in 36 equal monthly installments beginning October 31, 2016.