SEC Form 4 · accession 0001209191-16-152157
FATE THERAPEUTICS INC · FATE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William H Rastetter
Director
Period of report
Nov 23, 2016
Accepted (ET)
Nov 28, 2016 · 3:44 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,F2 | Nov 23, 2016 | P | 375,939 | $2.66 | A | 459,272 | I | By The Investment 2002 Trust dated 11/11/02 |
| Common StockF3 | holding | — | — | — | 118,360 | I | By The Rastetter Family Trust, dated 09/02/10 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares acquired in a private placement pursuant to the Securities Purchase Agreement dated November 21, 2016 by and among the issuer and the purchasers named therein.
- F2These shares are owned of record by The Investment 2002 Trust, dated November 11, 2002 for which William H. Rastetter is the sole trustee and owner.
- F3These shares are owned of record by The Rastetter Family Trust, dated September 2, 2010 for which William H. Rastetter and Marisa Gard Rastetter serve as co-trustees.