SEC Form 4 · accession 0001209191-16-091445
FATE THERAPEUTICS INC · FATE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Scott Wolchko
Officer — President and CEO · Director
Period of report
Jan 12, 2016
Accepted (ET)
Jan 14, 2016 · 4:35 pm EST
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 | Jan 12, 2016 | A | 10,956 | $0.00 | A | 131,979 | 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 | $2.70 | Jan 12, 2016 | A | 189,600 | A | — | Jan 11, 2026 | Common Stock | 189,600 | 189,600 | D |
| Stock option (right to buy)F3,F4 | $2.70 | Jan 12, 2016 | A | 110,400 | A | — | Jan 11, 2026 | Common Stock | 110,400 | 110,400 | D |
Explanation of responses
- F1Represents shares issued pursuant to the Company's 2013 Stock Option and Incentive Plan as a portion of a bonus earned by the reporting person for the fiscal year ended December 31, 2015.
- F2The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on January 1, 2016 such that this option is fully exercisable on December 1, 2019. This option is subject to accelerated vesting in the event of termination of employment under certain circumstances within three months prior to or 18 months following a change of control of the issuer.
- F3Not applicable.
- F4The shares subject to this option shall vest and become exercisable, if at all, in up to three equal installments upon the achievement of certain underlying performance milestones by certain specified dates or will be subject to forfeiture.