Filing Details
- Accession Number:
- 0001209191-20-003025
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-01-10 16:01:04
- Reporting Period:
- 2020-01-08
- Accepted Time:
- 2020-01-10 16:01:04
- 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 | 2020-01-08 | 25,000 | $0.00 | 148,791 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2020-01-08 | 5,700 | $20.70 | 143,091 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | 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) | Acquisiton | 2020-01-08 | 90,000 | $0.00 | 90,000 | $21.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 90,000 | 2030-01-08 | No | 4 | A | Direct |
Footnotes
- Award of restricted stock units ("RSUs") that vests with respect to 1/4 of the underlying shares on each of January 8, 2021, January 8, 2022, January 8, 2023, and January 8, 2024. 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.
- Required number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of 15,000 shares of Common Stock underlying RSUs granted to the reporting person on January 7, 2019. This sale was made pursuant to an irrevocable election on November 20, 2019 by the reporting person to satisfy tax withholding obligations through a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.38 to $20.8850 per share. The reporting person undertakes 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 this footnote.
- The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 1, 2020 such that this option is fully exercisable on January 1, 2024.
- Not applicable.
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