Filing Details
- Accession Number:
- 0001209191-19-003020
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-01-09 16:03:09
- Reporting Period:
- 2019-01-07
- Accepted Time:
- 2019-01-09 16:03:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1434316 | Fate Therapeutics Inc | FATE | Biological Products, (No Disgnostic Substances) (2836) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1655472 | Cindy Tahl | C/O Fate Therapeutics, Inc.; 3535 General Atomics Court #200 San Diego CA 92121 | General Counsel And Secretary | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-01-07 | 2,008 | $1.37 | 47,426 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-01-07 | 2,080 | $1.69 | 49,506 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-01-07 | 8,461 | $1.69 | 57,967 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-01-07 | 12,451 | $2.90 | 70,418 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-01-07 | 25,000 | $16.00 | 45,418 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-01-07 | 45,000 | $0.00 | 90,418 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2019-01-07 | 2,008 | $0.00 | 2,008 | $1.37 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-01-07 | 2,080 | $0.00 | 2,080 | $1.69 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-01-07 | 8,461 | $0.00 | 8,461 | $1.69 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-01-07 | 12,451 | $0.00 | 12,451 | $2.90 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2019-01-07 | 135,000 | $0.00 | 135,000 | $16.55 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2023-01-14 | No | 4 | M | Direct | |
| 0 | 2020-02-10 | No | 4 | M | Direct | |
| 0 | 2021-03-11 | No | 4 | M | Direct | |
| 123,149 | 2026-01-07 | No | 4 | M | Direct | |
| 135,000 | 2029-01-06 | No | 4 | A | Direct |
Footnotes
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 20, 2018.
- Award of Restricted Stock Units that vests with respect to 1/3 of the underlying shares on each of January 7, 2020, January 7, 2021, and January 7, 2022. This grant is subject to an accelerated vesting upon a change of control of the Issuer and in the event of termination of employment under certain circumstances following a change of control of the Issuer.
- This option is fully vested.
- Not applicable.
- The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 8, 2016 such that this option is fully exercisable on January 8, 2020.
- The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 1, 2019 such that this option is fully exercisable on January 1, 2023.
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