SEC Form 4 · accession 0001104659-15-071110
FATE THERAPEUTICS INC · FATE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stewart Abbot
Officer — Chief Development Officer
Period of report
Oct 15, 2015
Accepted (ET)
Oct 16, 2015 · 5:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001434316
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 15, 2015 | A | 40,000 | $0.00 | A | 40,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3,F2 | $4.89 | Oct 15, 2015 | A | 70,000 | A | — | Oct 15, 2025 | Common Stock | 70,000 | 70,000 | D |
Explanation of responses
- F1Award of Restricted Stock Units that vests with respect to 1/2 of the underlying shares on October 12, 2017 and the remaining 1/2 of the underlying shares on October 12, 2019. 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.
- F2The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on November 12, 2015, such that this option is fully exercisable on October 12, 2019, subject to the recipient's continued service relationship with the Issuer. This option 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.
- F3Not applicable.