Kanner Steven's Form 4 filing
Caribou Biosciences, Inc. (CRBU) · filed Oct 13, 2021
- Accession no.
- 0001209191-21-060424
- Filed
- Oct 13, 2021
- Trade date
- Oct 12, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 3 derivative transactions. Open-market purchases total $220.8K. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Kanner StevenCIK 0001871131 | Officer (Chief Scientific Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 12, 2021 | Common Stock | PPurchaseAcquired | +99,548 | $1.81 | +$180,181.88 | 199,719 | Direct | |
| Oct 12, 2021 | Common Stock | PPurchaseAcquired | +698 | $1.81 | +$1,263.38 | 200,417 | Direct | |
| Oct 12, 2021 | Common Stock | PPurchaseAcquired | +14,614 | $2.69F2 | +$39,311.66 | 215,031 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 12, 2021 | Common Stock | XIn-the-money exerciseDisposed | −99,548 | $0.00 | $0 | 71,840 | Direct | |
| Oct 12, 2021 | Common Stock | XIn-the-money exerciseDisposed | −698 | $0.00 | $0 | 4,879 | Direct | |
| Oct 12, 2021 | Common Stock | XIn-the-money exerciseDisposed | −14,614 | $0.00 | $0 | 132,134 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The exercise price for this stock option was incorrectly reported as $2.68 per share on the reporting person's Form 3 filed on July 22, 2021.
Referenced by the price of 1 transaction in Table I.