SEC Form 4 · accession 0001209191-19-003022
FATE THERAPEUTICS INC · FATE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bahram Valamehr
Officer — Chief Development Officer
Period of report
Jan 7, 2019
Accepted (ET)
Jan 9, 2019 · 4:04 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 7, 2019 | A | 45,000 | $0.00 | A | 72,958 | 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 | $16.55 | Jan 7, 2019 | A | 135,000 | A | — | Jan 6, 2029 | Common Stock | 135,000 | 135,000 | D |
Explanation of responses
- F1Award 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.
- F2The 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.
- F3Not applicable.