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Novartis AG — Director's Dealing 2016
May 6, 2016
940_dirs_2016-05-05_6912f743-744b-4810-a157-7a52c2e48ab4.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Intellia Therapeutics, Inc. (NTLA)
CIK: 0001652130
Period of Report: 2016-05-05
Reporting Person: Novartis Institutes for BioMedical Research, Inc. (10% Owner)
Reporting Person: NOVARTIS AG (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A-1 Preferred Stock | $ | Common Stock (3079001) | Direct | ||
| Series A-2 Preferred Stock | $ | Common Stock (1724240) | Direct | ||
| Series B Preferred Stock | $ | Common Stock (492640) | Direct |
Footnotes
F1: Each share is convertible into 0.6465903 of a share of Common Stock at any time at the election of the Reporting Person and will automatically
convert upon the closing of the Issuer's initial public offering into the number of shares of the Issuer's Common Stock shown in column 3 without
payment or further consideration. The shares have no expiration date.
F2: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG.