Ryan Fischesser - Mar 15, 2022 Form 4 Insider Report for Caribou Biosciences, Inc. (CRBU)

Role
VP of Finance and Controller
Signature
/s/ Barbara G. McClung, as attorney-in-fact
Stock symbol
CRBU
Transactions as of
Mar 15, 2022
Transactions value $
$7,733
Form type
4
Date filed
3/17/2022, 07:14 PM
Previous filing
Jan 12, 2022
Next filing
May 6, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CRBU Common Stock Options Exercise $3.06K +1.14K +1.02% $2.69 112K Mar 15, 2022 Direct F1, F2
transaction CRBU Common Stock Options Exercise $4.68K +1.14K +1.02% $4.11 113K Mar 15, 2022 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CRBU Option to purchase Common Stock Options Exercise $0 -1.14K -16.67% $0.00 5.68K Mar 15, 2022 Common Stock 1.14K $2.69 Direct F1, F3
transaction CRBU Option to purchase Common Stock Options Exercise $0 -1.14K -5.56% $0.00 19.3K Mar 15, 2022 Common Stock 1.14K $4.11 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Due to a rounding error, the exercise price for this stock option was inadvertently originally reported as $2.68 per share on the reporting person's Form 3 filed on July 23, 2021.
F2 Includes 1,888 shares purchased pursuant to the Issuer's 2021 Employee Stock Purchase Plan on February 15, 2022 for $9.85 per share.
F3 1/4th of the shares subject to this option vested on January 1, 2020 and an additional 1/48th of the aggregate number of shares subject to the option have vested or will vest on the corresponding day of each month thereafter until the option is fully vested on January 1, 2023, subject to the reporting person's continued service to the Issuer through the applicable vesting dates. The vesting schedule for this option was inadvertently described incorrectly in the reporting person's Form 3 filed on July 23, 2021.
F4 1/4th of the shares subject to this option vested on January 1, 2022 and an additional 1/48th of the aggregate number of shares subject to the option have vested or will vest on the corresponding day of each month thereafter until the option is fully vested on January 1, 2025, subject to the reporting person's continued service to the Issuer through the applicable vesting dates.