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CRISPR Therapeutics AG — Director's Dealing 2017
May 4, 2017
30936_dirs_2017-05-04_6c2f8489-00d7-49fa-ba40-35397c68c348.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CRISPR Therapeutics AG (CRSP)
CIK: 0001674416
Period of Report: 2017-04-19
Reporting Person: Novak Rodger (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-05-02 | Common Shares | M | 15924 | $1.81 | Acquired | 1230929 | Direct |
| 2017-05-02 | Common Shares | S | 15924 | $16.5308 | Disposed | 1215005 | Direct |
| 2017-05-03 | Common Shares | M | 20269 | $1.81 | Acquired | 1235274 | Direct |
| 2017-05-03 | Common Shares | S | 19247 | $16.0536 | Disposed | 1216027 | Direct |
| 2017-05-03 | Common Shares | S | 1022 | $16.6366 | Disposed | 1215005 | Direct |
| 2017-05-04 | Common Shares | M | 13191 | $1.81 | Acquired | 1229196 | Direct |
| 2017-05-04 | Common Shares | S | 13191 | $16.3718 | Disposed | 1215005 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-02 | Stock Options (Right to Buy) | $1.81 | M | 50000 | Disposed | 2025-09-10 | Common Shares (50000) | Direct |
| 2017-05-03 | Stock Options (Right to Buy) | $1.81 | M | 20269 | Disposed | 2025-09-10 | Common Shares (20269) | Direct |
| 2017-05-04 | Stock Options (Right to Buy) | $1.81 | M | 13191 | Disposed | 2025-09-10 | Common Shares (13191) | Direct |
Footnotes
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.30 to $17.00, inclusive. The reporting person undertakes to provide to CRISPR Therapeutics AG, any security holder of CRISPR Therapeutics AG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.51 to $16.45, inclusive. The reporting person undertakes to provide to CRISPR Therapeutics AG, any security holder of CRISPR Therapeutics AG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.51 to $16.84, inclusive. The reporting person undertakes to provide to CRISPR Therapeutics AG, any security holder of CRISPR Therapeutics AG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.90 to $16.78, inclusive. The reporting person undertakes to provide to CRISPR Therapeutics AG, any security holder of CRISPR Therapeutics AG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
F6: This option was granted on September 10, 2015 with respect to 268,093 Common Shares with 94,950 share immediately vested on the grant date and the remaining 173,143 shares vest in 31 equal monthly installments thereafter.