Filing Details
- Accession Number:
- 0001209191-21-004957
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-01-22 18:23:42
- Reporting Period:
- 2021-01-20
- Accepted Time:
- 2021-01-22 18:23:42
- 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 |
|---|---|---|---|---|---|---|---|
| 1586893 | Scott J Wolchko | C/O Fate Therapeutics, Inc.; 3535 General Atomics Court #200 San Diego CA 92121 | President And Ceo | Yes | 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 | 2021-01-20 | 43,231 | $0.00 | 393,793 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2021-01-21 | 30,000 | $2.73 | 423,793 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-21 | 2,540 | $100.16 | 421,253 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-21 | 5,993 | $101.09 | 415,260 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-21 | 3,300 | $101.91 | 411,960 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-21 | 3,895 | $103.23 | 408,065 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-21 | 9,156 | $104.13 | 398,909 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-21 | 4,271 | $105.25 | 394,638 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-21 | 645 | $106.03 | 393,993 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-21 | 200 | $106.96 | 393,793 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-22 | 10,000 | $2.73 | 403,793 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-01-22 | 20,000 | $6.62 | 423,793 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-22 | 12,767 | $97.23 | 411,026 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-22 | 7,638 | $98.45 | 403,388 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-22 | 6,520 | $99.35 | 396,868 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-22 | 3,075 | $100.01 | 393,793 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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) | Acquisiton | 2021-01-20 | 16,441 | $0.00 | 16,441 | $109.01 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-01-21 | 30,000 | $0.00 | 30,000 | $2.73 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-01-22 | 10,000 | $0.00 | 10,000 | $2.73 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-01-22 | 20,000 | $0.00 | 20,000 | $6.62 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,441 | 2031-01-20 | No | 4 | A | Direct | |
| 180,000 | 2027-01-03 | No | 4 | M | Direct | |
| 170,000 | 2027-01-03 | No | 4 | M | Direct | |
| 34,846 | 2024-01-08 | No | 4 | M | Direct |
Footnotes
- Award of restricted stock units ("RSUs") that vests with respect to the 1/4th of the underlying shares on each of January 8, 2022, January 8, 2023, January 8, 2024, and January 8, 2025.
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 10, 2020.
- Represents the weighted average sale price of the shares sold ranging from $99.57 to $100.44 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.
- Represents the weighted average sale price of the shares sold ranging from $100.58 to $101.56 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.
- Represents the weighted average sale price of the shares sold ranging from $101.63 to $102.55 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.
- Represents the weighted average sale price of the shares sold ranging from $102.71 to $103.70 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.
- Represents the weighted average sale price of the shares sold ranging from $103.74 to $104.73 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.
- Represents the weighted average sale price of the shares sold ranging from $104.75 to $105.73 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.
- Represents the weighted average sale price of the shares sold ranging from $105.75 to $106.47 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.
- Represents the weighted average sale price of the shares sold ranging from $106.84 to $107.07 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.
- Represents the weighted average sale price of the shares sold ranging from $96.77 to $97.75 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.
- Represents the weighted average sale price of the shares sold ranging from $97.80 to $98.79 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.
- Represents the weighted average sale price of the shares sold ranging from $98.80 to $99.76 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.
- Represents the weighted average sale price of the shares sold ranging from $99.81 to $100.45 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 in 48 equal monthly installments beginning on February 1, 2021 such that this option is fully exercisable on January 1, 2025.
- Not applicable.
- This option is fully vested.
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