# EDGAR Filing Document

**Accession Number:** 0001674416
**File Stem:** 0001209191-23-018566
**Filing Date:** 2023-3
**Character Count:** 8022
**Document Hash:** 46fc3bbed984920d0fb21ebd3f398a6e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-018566.hdr.sgml**: 20230314

**ACCESSION NUMBER**: 0001209191-23-018566

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230310

**FILED AS OF DATE**: 20230314

**DATE AS OF CHANGE**: 20230314

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Kulkarni Samarth
- **CENTRAL INDEX KEY:** 0001682019

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37923
- **FILM NUMBER:** 23732288

**MAIL ADDRESS:**
- **STREET 1:** C/O CRISPR THERAPEUTICS AG
- **STREET 2:** 200 SIDNEY STREET
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02139
**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Kulkarni Samarth<br><sub>(Last) (First) (Middle)</sub><br>C/O CRISPR THERAPEUTICS, INC.<br>105 W FIRST STREET<br><sub>(Street)</sub><br>BOSTON, MA 02127<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-10 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Executive Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CRISPR Therapeutics AG [ CRSP ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Shares | 2023-03-10 |  | M |  | 11833 | A | <sup>(1)</sup> | 387821 | D |  |
| Common Shares | 2023-03-13 |  | F |  | 5358<sup>(2)</sup> | D | $43.22 | 382463 | D |  |
| Common Shares | 2023-03-11 |  | M |  | 9000 | A | <sup>(1)</sup> | 391463 | D |  |
| Common Shares | 2023-03-13 |  | F |  | 4086<sup>(2)</sup> | D | $43.22 | 387377 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(1)</sup> | 2023-03-10 |  | M |  |  | 11833 | <sup>(3)</sup> | <sup>(3)</sup> | Common Shares | 11833 | <sup>(1)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $43.22 | 2023-03-10 |  | A |  | 188000 |  | <sup>(4)</sup> | 2033-03-10 | Common Shares | 188000 | $0.00 | 188000 | D |  |
| Restricted Stock Units | <sup>(1)</sup> | 2023-03-10 |  | A |  | 77000 |  | <sup>(5)</sup> | <sup>(5)</sup> | Common Shares | 77000 | $0.00 | 77000 | D |  |
| Restricted Stock Units | <sup>(1)</sup> | 2023-03-11 |  | M |  |  | 9000 | <sup>(6)</sup> | <sup>(6)</sup> | Common Shares | 9000 | <sup>(1)</sup> | 18000 | D |  |

---

### Footnotes:

(1) Each restricted stock unit represents a contingent right to receive one share of CRSP Common Shares.

(2) Amount reported represents the number of shares required to be sold by the reporting person to cover the tax withholding obligation in connection with the vesting of these restricted stock units. This sale is mandated by the Company's RSU Settlement Policy to fund the tax withholding obligation and does not represent a discretionary trade by the reporting person.

(3) This restricted stock unit award was granted on March 10, 2020 with respect to 35,500 Common Shares, with (i) one third of the shares vesting on March 10, 2021, (ii) one third of the shares vesting on March 10, 2022, and (iii) one third of the shares vesting on March 10, 2023.

(4) This option was granted on March 10, 2023 with respect to 188,000 Common Shares. 100% of the shares will vest in 48 equal monthly installments, with the first vesting date of April 10, 2023.

(5) This restricted stock unit award was granted on March 10, 2023 with respect to 77,000 Common Shares, with (i) one quarter of the shares vesting on March 10, 2024, (ii) one quarter of the shares vesting on March 10, 2025, (iii) one quarter of the shares vesting on March 10, 2026, and (iv) one quarter of the shares vesting on March 10, 2027.

(6) This restricted stock unit award was granted on March 11, 2021 with respect to 36,000 Common Shares, with (i) one quarter of the shares vesting on March 11, 2022, (ii) one quarter of the shares vesting on March 11, 2023, (iii) one quarter of the shares vesting on March 11, 2024, and (iv) one quarter of the shares vesting on March 11, 2025.

**Signature:** /s/ Elizabeth Ryland Waldinger, attorney-in-fact  
**Date:** 2023-03-14

### Remarks:

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.**