0001209191-16-146978.txt : 20161026 0001209191-16-146978.hdr.sgml : 20161026 20161026161545 ACCESSION NUMBER: 0001209191-16-146978 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161024 FILED AS OF DATE: 20161026 DATE AS OF CHANGE: 20161026 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 BUSINESS ADDRESS: STREET 1: 200 SIDNEY STREET CITY: CAMBRIDGE STATE: MA ZIP: 02139 BUSINESS PHONE: 6173154600 MAIL ADDRESS: STREET 1: 200 SIDNEY STREET CITY: CAMBRIDGE STATE: MA ZIP: 02139 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CELGENE CORP /DE/ CENTRAL INDEX KEY: 0000816284 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37923 FILM NUMBER: 161952800 BUSINESS ADDRESS: STREET 1: 86 MORRIS AVENUE CITY: SUMMIT STATE: NJ ZIP: 07901 BUSINESS PHONE: (908)673-9000 MAIL ADDRESS: STREET 1: 86 MORRIS AVENUE CITY: SUMMIT STATE: NJ ZIP: 07901 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-10-24 0 0001674416 CRISPR Therapeutics AG CRSP 0000816284 CELGENE CORP /DE/ 86 MORRIS AVENUE SUMMIT NJ 07901 0 0 1 0 Common Stock 2016-10-24 4 C 0 4034830 0.00 A 4034830 D Common Stock 2016-10-24 4 P 0 800150 14.00 A 4834980 D Series B Preferred Shares 0.00 2016-10-24 4 C 0 4034830 0.00 D 2016-10-24 Common Shares 4034830 0 D These securities converted on a one-for-one basis into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. These securities are held of record by Celgene Alpine Investment Co. III, LLC, an indirectly wholly-owned subsidiary of Celgene Corporation ("Celgene"). Celgene may be deemed to have voting and investment power over these securities and as a result may be deemed to have beneficial ownership over such securities. Celgene disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that Celgene is a beneficial owner of such securities for the purpose of Section 16 and the Exchange Act, or for any other purpose. These securities were convertible at any time on a one-for-one basis into shares of the Issuer's Common Stock at the holder's election and automatically upon the closing of the Issuer's initial public offering. These securities do not have an expiration date. /s/ Peter N. Kellogg _______________________________________________________ Peter N. Kellogg, Executive Vice President and Chief Financial Officer 2016-10-26