SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/02/2019 | 3. Issuer Name and Ticker or Trading Symbol CRISPR Therapeutics AG [ CRSP ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | (1) | 03/01/2026 | Common Shares | 83,666 | 5.86 | D | |
Stock Option (Right to Buy) | (2) | 07/14/2026 | Common Shares | 40,000 | 12.57 | D | |
Stock Option (Right to Buy) | (3) | 06/14/2027 | Common Shares | 31,000 | 14.43 | D | |
Stock Option (Right to Buy) | (4) | 11/14/2027 | Common Shares | 15,000 | 17.66 | D | |
Stock Option (Right to Buy) | (5) | 03/06/2028 | Common Shares | 60,000 | 51.49 | D |
Explanation of Responses: |
1. The Reporting Person was granted an option to purchase 106,666 shares on March 2, 2016. 23,000 of such options were previously exercised, and the shares underlying those options were sold. 25% of this option became vested and fully exercisable on February 1, 2017, and the remaining 75% of the shares shall vest in 36 equal monthly installments on the first day of each month thereafter. |
2. 100% of the shares shall vest in 48 equal monthly installments on the thirty-first day of each month, with the first vesting event on October 31, 2016 |
3. 100% of the shares shall vest in 48 equal monthly installments on the fifteenth day of each month, with the first vesting event on July 15, 2017. |
4. 100% of the shares shall vest in 48 equal monthly installments on the fifteenth day of each month, with the first vesting event on December 15, 2017. |
5. 100% of the shares shall vest in 48 equal monthly installments on the seventh day of each month, with the first vesting event on April 7, 2018. |
Remarks: |
Exhibit 24.1: Power of Attorney attached |
/s/ Michael Esposito, attorney-in-fact | 01/03/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |