CRISPR Therapeutics AG — Director's Dealing 2016

Oct 26, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CRISPR Therapeutics AG (CRSP)
CIK: 0001674416
Period of Report: 2016-10-24

Reporting Person: GLAXOSMITHKLINE PLC (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-10-24	Common Shares	C	2942560	—	Acquired	2942560	Indirect
2016-10-24	Common Shares	C	211567	—	Acquired	3154127	Indirect
2016-10-24	Common Shares	P	66500	$14.00	Acquired	3220627	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-10-24	Series A-3 Preferred Shares	$	C	2942560	Disposed		Common Shares (2942560)	Indirect
2016-10-24	Series B Preferred Shares	$	C	211567	Disposed		Common Shares (211567)	Indirect

Footnotes

F1: On October 24, 2016, S.R. One, Limited ("S.R. One") acquired 66,500 common shares of the Issuer ("Common Shares") at a price of $14.00 per share in connection with the Issuer's initial public offering.

F2: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

F3: On October 24, 2016, the Series A-3 Preferred Shares and the Series B Preferred Shares converted automatically into Common Shares on a one-for-one basis, upon closing of the Issuer's initial public offering

F4: Not applicable.