FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CRISPR Therapeutics AG [ CRSP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/01/2021 | ||||||||||||||||||||||||||
4. 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 Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Shares | 03/01/2021 | J(1) | 244,056 | D | $0.00 | 581,999 | I | See Footnote(2) | ||
Common Shares | 03/01/2021 | J(3) | 52,716 | A | $0.00 | 52,716 | I | See Footnote(4) | ||
Common Shares | 03/01/2021 | J(5) | 7,341 | D | $0.00 | 16,625 | I | See Footnote(6) | ||
Common Shares | 03/01/2021 | J(7) | 1,585 | A | $0.00 | 54,301 | I | See Footnote(4) | ||
Common Shares | 03/01/2021 | J(8) | 8,126 | D | $0.00 | 18,457 | I | See Footnote(9) | ||
Common Shares | 03/01/2021 | J(10) | 1,755 | A | $0.00 | 56,056 | I | See Footnote(4) | ||
Common Shares | 03/01/2021 | J(11) | 56,056 | D | $0.00 | 0 | I | See Footnote(4) | ||
Common Shares | 03/01/2021 | J(12) | 12,648 | A | $0.00 | 60,184 | D | |||
Common Shares | 03/01/2021 | J(13) | 18,574 | D | $0.00 | 44,295 | I | See Footnote(14) | ||
Common Shares | 03/01/2021 | J(15) | 4,012 | A | $0.00 | 4,012 | I | See Footnote(16) | ||
Common Shares | 03/01/2021 | J(17) | 4,012 | D | $0.00 | 0 | I | See Footnote(16) | ||
Common Shares | 03/01/2021 | J(18) | 565 | A | $0.00 | 60,749 | D | |||
Common Shares | 168,831 | I | See Footnote(19) | |||||||
Common Shares | 720,481 | I | See Footnote(20) | |||||||
Common Shares | 4,272 | I | See Footnote(21) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by Versant Venture Capital V, L.P. ("VVC V") to its partners pursuant to a Rule 10b5-1 trading plan. |
2. These securities are held of record by VVC V. Versant Ventures V, LLC ("VV V") is the sole general partner of VVC V and may be deemed to have voting and dispositive power over the securities held by VVC V and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV V and may be deemed to indirectly beneficially own the securities through his interest in VV V. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any. |
3. Represents a change in the form of ownership of VV V by virtue of the receipt of shares in the pro-rata in-kind distribution of common shares of the Issuer for no consideration by VVC V. |
4. Shares held of record by VV V. The Reporting Person is a managing director of VV V and may be deemed to indirectly beneficially own the securities through his interest in VV V. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any. |
5. Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by Versant Affiliates Fund V, L.P. ("VAF V") to its partners pursuant to a Rule 10b5-1 trading plan. |
6. These securities are held of record by VAF V. VV V is the sole general partner of VAF V and may be deemed to have voting and dispositive power over the securities held by VAF V and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV V and may be deemed to indirectly beneficially own the securities through his interest in VV V. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any. |
7. Represents a change in the form of ownership of VV V by virtue of the receipt of shares in the pro-rata in-kind distribution of common shares of the Issuer for no consideration by VAF V. |
8. Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by Versant Ophthalmic Affiliates Fund I, L.P. ("VOA") to its partners pursuant to a Rule 10b5-1 trading plan. |
9. These securities are held of record by VOA. VV V is the sole general partner of VOA and may be deemed to have voting and dispositive power over the securities held by VOA and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV V and may be deemed to indirectly beneficially own the securities through his interest in VV V. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any. |
10. Represents a change in the form of ownership of VV V by virtue of the receipt of shares in the pro-rata in-kind distribution of common shares of the Issuer for no consideration by VOA. |
11. Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV V to its members. |
12. Represents a change in the form of ownership of the Reporting Person by virtue of the receipt of shares as a result of the pro-rata in-kind distribution of common shares of the Issuer for no consideration by VV V. |
13. Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by Versant Venture Capital V (Canada) LP ("VVC CAN") to its partners pursuant to a Rule 10b5-1 trading plan. |
14. These securities are held of record by VVC CAN. Versant Ventures V GP-GP (Canada), Inc. ("VV V CAN GP") is the sole general partner of Versant Ventures V (Canada), L.P. ("VV V CAN") and VV V CAN is the sole general partner of VVC CAN. Each of VV V CAN GP and VV V CAN may be deemed to have voting and dispositive power over the securities held by VVC CAN and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a director of VV V CAN GP and may be deemed to indirectly beneficially own the securities through his interest in VV V CAN GP. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, if any. |
15. Represents a change in the form of ownership of VV V CAN by virtue of the receipt of shares in the pro-rata in-kind distribution of common shares of the Issuer for no consideration by VVC CAN. |
16. Shares held by VV V CAN. VV V CAN GP is the sole general partner of VV V CAN. VV V CAN GP may be deemed to have voting and dispositive power over the securities held by VV V CAN and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a director of VV V CAN GP and may be deemed to indirectly beneficially own the securities through his interest in VV V CAN GP. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, if any. |
17. Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV V CAN to its partners. |
18. Represents a change in the form of ownership of the Reporting Person by virtue of the receipt of shares as a result of the pro-rata in-kind distribution of common shares of the Issuer for no consideration by VV V CAN. |
19. These securities are held of record by Versant Venture Management LLC ("VVM LLC"), a portion of which are held for the benefit of the Reporting Person, pursuant to an agreement between VVM LLC and the Reporting Person. The Reporting Person is a managing member of VVM LLC and the Reporting Person may be deemed to indirectly beneficially own the securities through his interest in VVM LLC. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, if any. |
20. These securities are held of record by Versant Venture Capital IV, L.P. ("VVC IV"). Versant Ventures IV, LLC ("VV IV") is the sole general partner of VVC IV and may be deemed to have voting and dispositive power over the securities held by VVC IV and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV IV and may be deemed to indirectly beneficially own the securities through his interest in VV IV. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any. |
21. These securities are held of record by Versant Side Fund IV, L.P. ("VSF IV"). VV IV is the sole general partner of VSF IV and may be deemed to have voting and dispositive power over the securities held by VSF IV and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV IV and may be deemed to indirectly beneficially own the securities through his interest in VV IV. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any. |
Remarks: |
/s/ Robin L. Praeger, attorney-in-fact for Bradley Bolzon | 03/03/2021 | |
** 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 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). | ||
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. |