BASTA JAMES 4

4 · Intellia Therapeutics, Inc. · Filed Mar 3, 2026

AI-generated summary of this filing

Updated Mar 3, 2026

Intellia (NTLA) EVP James Basta Receives Awards; Sells 1,211 Shares

What Happened

James Basta, EVP and General Counsel of Intellia Therapeutics (NTLA), received equity awards on March 1, 2026: 46,080 restricted stock units (RSUs) and a derivative award of 65,829 shares (an option-like award). Both awards were granted at $0.00 value. Following the RSU vesting, a mandatory sell-to-cover transaction on March 2, 2026 disposed of 1,211 shares at $13.78 each, netting $16,688 to satisfy tax withholding.

Key Details

Transactions and prices:
- 2026-03-01: Award of 46,080 RSUs (grant, $0.00) — each RSU represents a contingent right to one share (Footnote F1).
- 2026-03-01: Grant of 65,829 derivative award (reported as A, $0.00) — described as an option with vesting: 33% on Jan 1, 2027, remainder vesting monthly over the following 24 months (Footnote F3).
- 2026-03-02: Sale of 1,211 shares @ $13.78 = $16,688 (mandatory sell-to-cover to satisfy tax withholding upon RSU vesting; Footnote F2).
Shares owned after the transactions: Not specified in this Form 4 filing.
Filing timeliness: Form filed 2026-03-03 for transactions on 2026-03-01 and 03-02; the filing appears timely (no late filing flag in the report).
Footnotes of note:
- F1: RSUs equal a contingent right to one share each.
- F2: The 1,211-share sale was a mandatory sell-to-cover for taxes and not a discretionary trade.
- F3: The 65,829-unit derivative grant is an option with a multi-year vesting schedule.

Context

This filing mainly reflects compensation-related equity grants (RSUs and an option-like award) rather than a market-directional purchase. The small sale was a routine, mandatory sell-to-cover for tax withholding and should not be read as a voluntary sell signal.
The derivative award has future vesting conditions; those shares/options are not immediately liquid and will vest according to the schedule in F3.

Form 4

Period: 2026-03-01

EVP, General Counsel

Transactions

Award
Common Stock
[F1]
2026-03-01+46,080→ 158,005 total
Sale
Common Stock
[F2]
2026-03-02$13.78/sh−1,211$16,688→ 156,794 total
Award
Stock Option (right to buy)
[F3]
2026-03-01+65,829→ 65,829 total
Exercise: $13.78Exp: 2036-02-29→ Common Stock (65,829 underlying)

Footnotes (3)

[F1]Based on a grant of restricted stock units representing a contingent right to receive one share of Intellia common stock for each restricted stock unit
[F2]Represents a mandatory "sell-to-cover" transaction for the purpose of satisfying the reporting person's tax withholding obligation upon the vesting of RSUs on March 1, 2026, and does not represent a volitional trade by the Reporting Person.
[F3]This option was granted on March 1, 2026 with respect to shares of Common Stock, with 33% vesting on January 1, 2027 and the remaining 67% vesting in 24 substantially equal monthly installments thereafter.

Signature

James Basta|2026-03-03

1 file