0000905718-18-000554.txt : 20180607 0000905718-18-000554.hdr.sgml : 20180607 20180607163639 ACCESSION NUMBER: 0000905718-18-000554 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180605 FILED AS OF DATE: 20180607 DATE AS OF CHANGE: 20180607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EMSTER KURT VON CENTRAL INDEX KEY: 0001252524 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37923 FILM NUMBER: 18886908 MAIL ADDRESS: STREET 1: 601 GATEWAY BOULEVARD STREET 2: SUITE 350 CITY: SAN FRANCISCO STATE: CA ZIP: 94080 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CRISPR Therapeutics AG CENTRAL INDEX KEY: 0001674416 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 473173478 STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: BAARERSTRASSE 14 CITY: ZUG STATE: V8 ZIP: CH-6300 BUSINESS PHONE: 6173154600 MAIL ADDRESS: STREET 1: BAARERSTRASSE 14 CITY: ZUG STATE: V8 ZIP: CH-6300 4 1 crispr-fm4_jun42018.xml OWNERSHIP DOCUMENT X0306 4 2018-06-05 0 0001674416 CRISPR Therapeutics AG CRSP 0001252524 EMSTER KURT VON C/O CRISPR THERAPEUTICS, INC. 610 MAIN STREET CAMBRIDGE MA 02139 1 0 0 0 Common Stock 2018-06-05 4 X 0 2000 5.75 D 19236 I By the Konrad Hans von Emster III and Elizabeth F. von Emster Revocable Trust dated January 18, 2005 Common Stock 2018-06-05 4 S 0 920 12.51 D 18316 I By the Konrad Hans von Emster III and Elizabeth F. von Emster Revocable Trust dated January 18, 2005 Common Stock 90000 D Common Stock 273417 I See footnotes Warrant (right to buy) 5.75 2018-06-05 4 X 0 2000 0 D 2013-09-30 2018-09-30 Common Stock 2000 0 I By The Konrad Hans von Emster III and Elizabeth F. von Emster Revocable Trust dated January 18, 2005 On June 5, 2018, Kurt von Emster (the "Reporting Person") on behalf of the Konrad Hans von Emster III and Elizabeth F. von Emster Revocable Trust dated January 18, 2005, exercised a warrant to purchase 2,000 shares of CymaBay Therapeutics, Inc. ("CBAY") common stock for $5.75 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in CBAY's withholding of 920 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 1,080 shares. CBAY also paid $9.47 to the Reporting Person in lieu of a fractional share. Shares are held by Abingworth Bioventures VI, LP ("ABV VI") and Abingworth BioEquities Master Fund Limited ("ABE" together with ABV VI, the "Abingworth Funds"). Abingworth LLP ("Abingworth") is the investment manager of the Abingworth Funds and has been delegated with all investment and dispositive power over the securities held by the Abingworth Funds. The Reporting Person is a member of the investment committee of Abingworth, which approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the shares held by Abingworth. From time to time, the investment committee may delegate investment and voting authority over certain securities held by the Abingworth Funds to employees of Abingworth subject to the supervision and oversight of the investment committee, including any limits on such authority imposed by the investment committee in its discretion and the right of the investment committee to revoke such authority at any time. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any. /s/ John Heard, as attorney-in-fact 2018-06-07