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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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 control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Stock Units | (1) | 02/18/2024 | M | 3,825 | (4) | (4) | Common Shares | 3,825 | (1) | 7,650 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| KASINGER JAMES R. C/O CRISPR THERAPEUTICS 105 WEST FIRST STREET BOSTON, MA 02127 |
General Counsel and Secretary | |||
| /s/ AJ Silver, attorney-in-fact | 02/21/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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). |
| (1) | Each restricted stock unit represents a contingent right to receive one share of CRSP Common Shares. |
| (2) | Includes 615 shares acquired under the CRISPR Therapeutics AG 2016 Employee Stock Purchase Plan. |
| (3) | Amount reported represents the number of shares required to be sold by the reporting person to cover the tax withholding obligation in connection with the vesting of these restricted stock units. This sale is mandated by the Company's RSU Settlement Policy to fund the tax withholding obligation and does not represent a discretionary trade by the reporting person. |
| (4) | This restricted stock unit award was granted on February 18, 2022 with respect to 15,300 Common Shares, with (i) one quarter of the shares vesting on February 18, 2023, (ii) one quarter of the shares vesting on February 18, 2024, (iii) one quarter of the shares vesting on February 18, 2025, and (iv) one quarter of the shares vesting on February 18, 2026. |