SEC Form 4 · accession 0001209191-19-003020
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
Jan 7, 2019
Accepted (ET)
Jan 9, 2019 · 4:03 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 7, 2019 | M | 2,008 | $1.37 | A | 47,426 | D | |
| Common Stock | Jan 7, 2019 | M | 2,080 | $1.69 | A | 49,506 | D | |
| Common Stock | Jan 7, 2019 | M | 8,461 | $1.69 | A | 57,967 | D | |
| Common Stock | Jan 7, 2019 | M | 12,451 | $2.90 | A | 70,418 | D | |
| Common Stock | Jan 7, 2019 | S | 25,000 | $16.00 | D | 45,418 | D | |
| Common StockF2 | Jan 7, 2019 | A | 45,000 | $0.00 | A | 90,418 | 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)F4,F3 | $1.37 | Jan 7, 2019 | M | 2,008 | D | — | Jan 14, 2023 | Common Stock | 2,008 | 0 | D |
| Stock Option (right to buy)F4,F3 | $1.69 | Jan 7, 2019 | M | 2,080 | D | — | Feb 10, 2020 | Common Stock | 2,080 | 0 | D |
| Stock Option (right to buy)F4,F3 | $1.69 | Jan 7, 2019 | M | 8,461 | D | — | Mar 11, 2021 | Common Stock | 8,461 | 0 | D |
| Stock Option (right to buy)F4,F5 | $2.90 | Jan 7, 2019 | M | 12,451 | D | — | Jan 7, 2026 | Common Stock | 12,451 | 123,149 | D |
| Stock Option (right to buy)F4,F6 | $16.55 | Jan 7, 2019 | A | 135,000 | A | — | Jan 6, 2029 | Common Stock | 135,000 | 135,000 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 20, 2018.
- F2Award of Restricted Stock Units that vests with respect to 1/3 of the underlying shares on each of January 7, 2020, January 7, 2021, and January 7, 2022. 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.
- F3This option is fully vested.
- F4Not applicable.
- F5The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 8, 2016 such that this option is fully exercisable on January 8, 2020.
- F6The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 1, 2019 such that this option is fully exercisable on January 1, 2023.