Filing Details
- Accession Number:
- 0001209191-20-000242
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-01-02 16:01:01
- Reporting Period:
- 2019-12-30
- Accepted Time:
- 2020-01-02 16:01:01
- 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 |
|---|---|---|---|---|---|---|---|
| 1586892 | D Daniel Shoemaker | C/O Fate Therapeutics, Inc.; 3535 General Atomics Court #200 San Diego CA 92121 | Chief Scientific Officer | 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 | 2019-12-30 | 25,000 | $2.90 | 148,791 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-12-30 | 24,900 | $19.49 | 123,891 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-12-30 | 100 | $20.34 | 123,791 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 2019-12-30 | 25,000 | $0.00 | 25,000 | $2.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 98,800 | 2026-01-07 | No | 4 | M | Direct |
Footnotes
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 20, 2018 and modified on December 10, 2018.
- Represents the weighted average sale price of the shares sold ranging from $19.21 to $20.08 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price.
- 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.
- Not applicable.
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