SEC Form 4 · accession 0001209191-17-057148
FATE THERAPEUTICS INC · FATE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cindy Tahl
Officer — General Counsel and Secretary
Period of report
Oct 13, 2017
Accepted (ET)
Oct 17, 2017 · 4:04 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,F2,F3 | Oct 13, 2017 | S | 7,591 | $3.83 | D | 45,918 | D | |
| Common StockF1,F4,F3 | Oct 16, 2017 | S | 500 | $4.10 | D | 45,418 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Required number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of 20,000 shares of Common Stock underlying restricted stock units ("RSUs") granted to the reporting person on October 15, 2015. This sale was made pursuant to an irrevocable election by the reporting person to satisfy tax withholding obligations through a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
- F2The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.52 to $4.08 per share. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3Includes previously reported shares of Common Stock underlying RSUs granted to the reporting person, which are subject to certain vesting conditions.
- F4The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.99 to $4.17 per share. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.