NTLA

SEC source: 0000899243-20-006973 · doc4.xml · derivative · entry 2

SCHIERMEIER ANDREW · CIK 0001738456 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-01-02

F2 · balance_after: On January 3, 2017, the reporting person was granted an option to purchase 15,000 shares of common stock. The option vested based on the satisfaction of certain performance criteria. The performance criteria was met, resulting in the vesting of option as to 15,000 shares.

SEC source: 0001209191-19-044238 · doc4.xml · derivative · entry 1

SCHIERMEIER ANDREW · CIK 0001738456 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2029-07-31

F1 · derivative.exercise_date: This option was granted on August 1, 2019 with respect to 55,000 shares of Common Stock, with 25% vesting on August 1, 2020 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-19-034240 · doc4.xml · derivative · entry 1

Sepp-Lorenzino Laura · CIK 0001777421 · EVP, Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-05-27

F1 · derivative.exercise_date: This option was granted on May 28, 2019 with respect to 150,000 shares of Common Stock, with 25% vesting on May 28, 2020 and the remainder vesting in thirty-six equal monthly installments thereafter.

SEC source: 0001209191-19-032080 · doc4.xml · derivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2029-05-20

F1 · derivative.exercise_date: This option was granted on May 21, 2019 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

F2 · ownership.direct: The reporting person is a member of Atlas Venture Associates IX, LLC ("AVA IX LLC") and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-19-032078 · doc4.xml · derivative · entry 1

DORSA CAROLINE · CIK 0001181174 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2029-05-20

F1 · derivative.exercise_date: This option was granted on May 21, 2019 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

SEC source: 0001209191-19-032081 · doc4.xml · derivative · entry 1

GOODMAN JESSE · CIK 0001756929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2029-05-20

F1 · derivative.exercise_date: This option was granted on May 21, 2019 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

SEC source: 0001209191-19-032086 · doc4.xml · derivative · entry 1

Verwiel Frank · CIK 0001545794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2029-05-20

F1 · derivative.exercise_date: This option was granted on May 21, 2019 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

SEC source: 0001209191-19-032084 · doc4.xml · derivative · entry 1

KARSEN PERRY A · CIK 0001260573 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2029-05-20

F1 · derivative.exercise_date: This option was granted on May 21, 2019 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

SEC source: 0001209191-19-032076 · doc4.xml · derivative · entry 1

Cohen Fred E · CIK 0001339358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2029-05-20

F1 · derivative.exercise_date: This option was granted on May 21, 2019 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

SEC source: 0001209191-19-018817 · doc4.xml · nonDerivative · entry 2

SCHIERMEIER ANDREW · CIK 0001738456 · EVP, Dev and Corp Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

SEC source: 0001209191-19-018817 · doc4.xml · nonDerivative · entry 1

SCHIERMEIER ANDREW · CIK 0001738456 · EVP, Dev and Corp Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,250

SEC source: 0001209191-19-016544 · doc4.xml · nonDerivative · entry 1

Cohen Fred E · CIK 0001339358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.85 to $16.93, inclusive. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0000899243-19-001905 · doc4.xml · derivative · entry 1

Cohen Fred E · CIK 0001339358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock · 38,000 shares

Expires 2029-01-22

F1 · derivative.exercise_date: This option was granted on January 23, 2019 with respect to 38,000 shares of Common Stock, with 33% vesting on January 23, 2020 and the remaining 67% vesting in eight substantially equal quarterly installments thereafter.

SEC source: 0001209191-18-063657 · doc4.xml · derivative · entry 1

Goddard Glenn · CIK 0001581992 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,750

Underlying: Common Stock · 17,750 shares

Expires 2028-12-17

F1 · derivative.exercise_date: This option was granted on December 18, 2018 with respect to 17,750 shares of Common Stock, with 25% vesting on December 18, 2019 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-18-063663 · doc4.xml · derivative · entry 1

SCHIERMEIER ANDREW · CIK 0001738456 · EVP, Dev and Corp Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,000

Underlying: Common Stock · 81,000 shares

Expires 2028-12-17

F1 · derivative.exercise_date: This option was granted on December 18, 2018 with respect to 81,000 shares of Common Stock, with 25% vesting on December 18, 2019 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-18-063664 · doc4.xml · derivative · entry 1

Rivera Jose E · CIK 0001671870 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,000

Underlying: Common Stock · 71,000 shares

Expires 2028-12-17

F1 · derivative.exercise_date: This option was granted on December 18, 2018 with respect to 71,000 shares of Common Stock, with 25% vesting on December 18, 2019 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-18-063660 · doc4.xml · derivative · entry 1

LEONARD JOHN M. · CIK 0001563584 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,000

Underlying: Common Stock · 240,000 shares

Expires 2028-12-17

F1 · derivative.exercise_date: This option was granted on December 18, 2018 with respect to 240,000 shares of Common Stock, with 25% vesting on December 18, 2019 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0000899243-18-027919 · doc4.xml · derivative · entry 1

Goddard Glenn · CIK 0001581992 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2018-10-31

F1 · derivative.exercise_date: This option was granted on November 1, 2018 with respect to 90,000 shares of Common Stock, with 25% vesting on November 1, 2019 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0000899243-18-031474 · doc4a.xml · derivative · entry 1

Goddard Glenn · CIK 0001581992 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2028-10-31

F1 · derivative.exercise_date: This option was granted on November 1, 2018 with respect to 90,000 shares of Common Stock, with 25% vesting on November 1, 2019 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0000899243-18-027816 · doc4.xml · derivative · entry 1

GOODMAN JESSE · CIK 0001756929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock · 38,000 shares

Expires 2018-10-28

F1 · derivative.exercise_date: This option was granted on October 29, 2018 with respect to 38,000 shares of Common Stock, with 33% vesting on October 29, 2019 and the remaining 67% vesting in eight substantially equal quarterly installments thereafter.

SEC source: 0001104659-18-045660 · a4.xml · nonDerivative · entry 2

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On July 16, 2018 AVA IX LP received 6,868 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.56 - $32.27, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) of this Form 4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by AVA IX LP on March 23, 2018.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On July 16, 2018 AVA IX LP received 6,868 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001104659-18-045660 · a4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,402

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On July 16, 2018 AVA IX LP received 6,868 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.56 - $31.55, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by AVA IX LP on March 23, 2018.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On July 16, 2018 AVA IX LP received 6,868 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0000925421-19-000049 · edgar.xml · nonDerivative · entry 3

Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,352,295

F1 · kind: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner.

F2 · ownership.direct: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG.

SEC source: 0001104659-18-041218 · a4.xml · nonDerivative · entry 2

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On June 19, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.28- $28.47, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) of this Form 4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by AVA IX LP on March 23, 2018.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On June 19, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001104659-18-041218 · a4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,400

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On June 19, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.28 - $28.27, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by AVA IX LP on March 23, 2018.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On June 19, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0000925421-19-000049 · edgar.xml · nonDerivative · entry 2

Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,327,221

F1 · kind: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner.

F2 · ownership.direct: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG.

SEC source: 0001209191-18-031694 · doc4.xml · derivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2028-05-16

F1 · derivative.exercise_date: This option was granted on May 17, 2018 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

F2 · ownership.direct: The reporting person is a member of Atlas Venture Associates IX, LLC ("AVA IX LLC") and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-18-031690 · doc4.xml · derivative · entry 1

DORSA CAROLINE · CIK 0001181174 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2028-05-16

F1 · derivative.exercise_date: This option was granted on May 17, 2018 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

SEC source: 0001209191-18-031692 · doc4.xml · derivative · entry 1

KARSEN PERRY A · CIK 0001260573 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2028-05-16

F1 · derivative.exercise_date: This option was granted on May 17, 2018 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

SEC source: 0001209191-18-031688 · doc4.xml · derivative · entry 1

Verwiel Frank · CIK 0001545794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2028-05-16

F1 · derivative.exercise_date: This option was granted on May 17, 2018 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

SEC source: 0001104659-18-033996 · a4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On May 16, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.69 - $25.39, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by AVA IX LP on March 23, 2018

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On May 16, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0000925421-19-000049 · edgar.xml · nonDerivative · entry 1

Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,302,147

F1 · kind: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner.

F2 · ownership.direct: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG.

SEC source: 0001209191-18-030361 · doc4.xml · nonDerivative · entry 1

LEONARD JOHN M. · CIK 0001563584 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

F1 · price: The shares were sold pursuant to a Rule 10b5-1 trading plan. All shares were sold at $24.00.

F2 · ownership.nature: Shares sold by the John Leonard Defined Benefit Pension Plan and Trust.

SEC source: 0001209191-18-027373 · doc4.xml · derivative · entry 1

SCHIERMEIER ANDREW · CIK 0001738456 · EVP, Corporate Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,500

Underlying: Common Stock · 23,500 shares

Expires 2028-04-30

F1 · derivative.exercise_date: This option was granted on May 1, 2018 with respect to 23,500 shares of Common Stock, with 25% vesting on May 1, 2019 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-18-022178 · doc4.xml · derivative · entry 2

Bell Graeme · CIK 0001643757 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,000

Underlying: Common Stock · 8,000 shares

Expires 2027-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: On January 3, 2017, the Reporting Person was granted an option to purchase 210,000 common shares under the company's 2015 Amended and Restated Stock Option and Incentive Plan. The shares reported as being purchased in this Form 4 were fully vested and exercisable as of the transaction date.

SEC source: 0001209191-18-022178 · doc4.xml · nonDerivative · entry 1

Bell Graeme · CIK 0001643757 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-021644 · doc4.xml · nonDerivative · entry 1

DORSA CAROLINE · CIK 0001181174 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,410

SEC source: 0001104659-18-019521 · a4.xml · nonDerivative · entry 2

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On March 16, 2018 AVA IX LP received 39,245 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.70 - $23.86, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) of this Form 4.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On March 16, 2018 AVA IX LP received 39,245 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001104659-18-019521 · a4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 36,628

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On March 16, 2018 AVA IX LP received 39,245 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 - $25.19, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On March 16, 2018 AVA IX LP received 39,245 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001415889-18-000152 · form4-01302018_020115.xml · nonDerivative · entry 1

Caribou Biosciences, Inc. · CIK 0001619856 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,994,355

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.75 to $26.97, inclusive. The reporting person undertakes to provide to Intellia Therapeutics, Inc., any security holder of Intellia Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 1 to this Form 4.

F2 · ownership.direct: This Form 4 is filed on behalf of (i) Caribou Therapeutics Holdco, LLC, the direct holder of the shares, and (ii) Caribou Biosciences, Inc. Caribou Therapeutics Holdco, LLC is a wholly-owned subsidiary of Caribou Biosciences, Inc., and thus Caribou Biosciences, Inc. may be deemed to share voting and dispositive power with respect to the shares held by Caribou Therapeutics Holdco, LLC. Caribou Biosciences, Inc. disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein, if any.

SEC source: 0001209191-18-005803 · doc4.xml · derivative · entry 1

Rivera Jose E · CIK 0001671870 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-01-24

F1 · derivative.exercise_date: This option was granted on January 25, 2018 with respect to 25,000 shares of Common Stock, with 25% vesting on January 25, 2019 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-18-005806 · doc4.xml · derivative · entry 1

LEONARD JOHN M. · CIK 0001563584 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,000

Underlying: Common Stock · 220,000 shares

Expires 2028-01-24

F1 · derivative.exercise_date: This option was granted on January 25, 2018 with respect to 220,000 shares of Common Stock, with 25% vesting on January 25, 2019 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-18-005804 · doc4.xml · derivative · entry 1

Bell Graeme · CIK 0001643757 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-01-24

F1 · derivative.exercise_date: This option was granted on January 25, 2018 with respect to 25,000 shares of Common Stock, with 25% vesting on January 25, 2019 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001104659-17-073312 · a4.xml · nonDerivative · entry 1

Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,129,903

F1 · price: The price reported in Column 4 is exclusive of any fees, commissions or other expenses.

F2 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of Novartis AG.

SEC source: 0001209191-17-065664 · doc4.xml · derivative · entry 1

Rivera Jose E · CIK 0001671870 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,500

Underlying: Common Stock · 72,500 shares

Expires 2027-12-11

F1 · derivative.exercise_date: This option was granted on December 12, 2017 with respect to 72,500 shares of Common Stock, with 25% vesting on December 12, 2018 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-17-065662 · doc4.xml · derivative · entry 1

LEONARD JOHN M. · CIK 0001563584 · Director · EVP, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,500

Underlying: Common Stock · 72,500 shares

Expires 2027-12-11

F1 · derivative.exercise_date: This option was granted on December 12, 2017 with respect to 72,500 shares of Common Stock, with 25% vesting on December 12, 2018 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-17-065659 · doc4.xml · derivative · entry 1

Bermingham Nessan · CIK 0001377759 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,500

Underlying: Common Stock · 292,500 shares

Expires 2027-12-11

F1 · derivative.exercise_date: This option was granted on December 12, 2017 with respect to 292,500 shares of Common Stock, with 25% vesting on December 12, 2018 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-17-065657 · doc4.xml · derivative · entry 1

Bell Graeme · CIK 0001643757 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,500

Underlying: Common Stock · 72,500 shares

Expires 2027-12-11

F1 · derivative.exercise_date: This option was granted on December 12, 2017 with respect to 72,500 shares of Common Stock, with 25% vesting on December 12, 2018 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0001209191-17-064786 · doc4.xml · nonDerivative · entry 5

Bermingham Nessan · CIK 0001377759 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 458,250

F5 · price: The shares were sold pursuant to a Rule 10b5-1 trading plan. The price reflected is the average price per share for the transactions that are aggregated and reported on the line. Shares ranged in price from $20.51 to $21.48. The reporting person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-17-064786 · doc4.xml · nonDerivative · entry 4

Bermingham Nessan · CIK 0001377759 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 552,393

F4 · price: The shares were sold pursuant to a Rule 10b5-1 trading plan. The price reflected is the average price per share for the transactions that are aggregated and reported on the line. Shares ranged in price from $21.33 to $21.65. The reporting person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.