Unregistered Sales of Equity Securities and Use of Proceeds.
−Removed: Unregistered Sales of Equity Securities for the Three Months Ended September 30, 2022
−Removed: There were no unregistered sales of equity securities during the three months ended September 30, 2022.
+Added: Unregistered Sales of Equity Securities for the Three Months Ended March 31, 2023
+Added: There were no unregistered sales of equity securities during the three months ended March 31, 2023.
Use of Proceeds from our IPO
3 unchanged sentences
government agency bonds.
−Removed: There has been no material change in our planned use of the net proceeds from our IPO described in the final prospectus for our IPO filed on July 23, 2021 with the SEC pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended.
+Added: There has been no material change in our planned use of the net proceeds from our IPO described in the final prospectus for our IPO filed on July 23, 2021 with the SEC pursuant to Rule 424(b)(4) of the Securities Act.
3.1 Amended and Restated Certificate of Incorporation of Caribou Biosciences, Inc.
3 unchanged sentences
4.1 Description of Common Stock (incorporated by reference to Exhibit 4.1 to the Form 10-K filed by the Registrant on March 21, 2022)
−Removed: 10.1* Form of Restricted Stock Unit Award Grant Notice and Restricted Stock Unit Award Agreement under the 2021 Equity Incentive Plan of the Registrant
−Removed: 10.2* Form of Performance Stock Unit Award Grant Notice and Performance Stock Unit Award Agreement under the 2021 Equity Incentive Plan of the Registrant
−Removed: 10.3 Open Market Sale Agreement SM , dated August 9, 2022, by and between the Registrant and Jefferies LLC (incorporated by reference to Exhibit 1.2 to the Company’s Registration Statement on Form S-3 (File No.
−Removed: 333-266712) filed with the SEC on August 9, 2022)
+Added: 10.1† First Amendment to the Collaboration and License Agreement, dated February 21, 2023, between the Registrant and AbbVie Manufacturing Management Unlimited Company (incorporated by reference to Exhibit 10.2 to the Form 10-K filed by the Registrant with the SEC on March 9, 2023)
+Added: 10.2† Side Letter to the Collaboration and License Agreement, dated January 30, 2023, between the Registrant and AbbVie Manufacturing Management Unlimited Company (incorporated by reference to Exhibit 10.3 to the Form 10-K filed by the Registrant with the SEC on March 9, 2023)
+Added: 10.3+ Compensation Letter, dated February 16, 2023, from the Registrant to Rachel E.
+Added: Haurwitz, Ph.D.
+Added: (incorporated by reference to Exhibit 10.34 to the Form 10-K filed by the Registrant with the SEC on March 9, 2023)
+Added: 10.4+ Compensation Letter, dated February 16, 2023, from the Registrant to Jason V.
+Added: O’Byrne (incorporated by reference to Exhibit 10.38 to the Form 10-K filed by the Registrant with the SEC on March 9, 2023)
+Added: 10.5+ Compensation Letter, dated February 16, 2023, from the Registrant to Barbara G.
+Added: McClung, J.D.
+Added: (incorporated by reference to Exhibit 10.41 to the Form 10-K filed by the Registrant with the SEC on March 9, 2023)
+Added: 10.6+ Compensation Letter, dated February 16, 2023, from the Registrant to Steven B.
+Added: Kanner, Ph.D.
+Added: (incorporated by reference to Exhibit 10.44 to the Form 10-K filed by the Registrant with the SEC on March 9, 2023)
+Added: 10.7+ Compensation Letter, dated February 16, 2023, from the Registrant to Ruhi Khan (incorporated by reference to Exhibit 10.47 to the Form 10-K filed by the Registrant with the SEC on March 9, 2023)
+Added: 10.8+ Compensation Letter, dated February 16, 2023, from the Registrant to Syed Rizvi, M.D.
+Added: (incorporated by reference to Exhibit 10.50 to the Form 10-K filed by the Registrant with the SEC on March 9, 2023)
31.1* Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Exchange Act, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
14 unchanged sentences
** Furnished herewith.
+Added: † Indicates certain portions of this document that constitute confidential information have been redacted in accordance
+Added: with Regulation S-K, Item 601(b)(10)
+Added: + Indicates management contract or compensatory plan
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Caribou Biosciences, Inc.
−Removed: November 8, 2022
/s/ Rachel E.
1 unchanged sentence
(Principal Executive Officer)
−Removed: November 8, 2022
Chief Financial Officer
1 unchanged sentence
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.