SEC Form 4 · accession 0001209191-16-092456
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 18, 2016
Accepted (ET)
Jan 20, 2016 · 2:32 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 Stock | Jan 18, 2016 | M | 3,798 | $1.37 | A | 135,777 | D | |
| Common Stock | Jan 18, 2016 | M | 3,702 | $1.63 | A | 139,479 | 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)F2,F1 | $1.37 | Jan 18, 2016 | M | 3,798 | D | — | Jul 23, 2022 | Common Stock | 3,798 | 2,570 | D |
| Stock Option (right to buy)F2,F3 | $1.63 | Jan 18, 2016 | M | 3,702 | D | — | Feb 8, 2022 | Common Stock | 3,702 | 27,935 | D |
Explanation of responses
- F1The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on August 3, 2012 such that this option is fully exercisable on July 3, 2016. This option is subject to 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.
- F2Not applicable.
- F3The shares subject to this option became fully vested and exercisable on May 30, 2015.