SEC Form 4 · accession 0001493811-15-000002
FATE THERAPEUTICS INC · FATE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Scott Wolchko
Officer — See Remarks
Period of report
Apr 13, 2015
Accepted (ET)
Apr 14, 2015 · 4:22 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 Stock | Apr 13, 2015 | M | 5,064 | $1.37 | A | 31,837 | D | |
| Common Stock | Apr 13, 2015 | M | 2,936 | $1.63 | A | 34,773 | 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,F1 | $1.37 | Apr 13, 2015 | M | 5,064 | D | — | Jul 23, 2022 | Common Stock | 5,064 | 6,368 | D |
| Stock Option (right to buy)F3,F2 | $1.63 | Apr 13, 2015 | M | 2,936 | D | — | Feb 8, 2022 | Common Stock | 2,936 | 31,637 | 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.
- F2The shares subject to the option shall vest and become exercisable at the rate of 1/4th of the shares on May 30, 2012 and 1/48th of the shares each month thereafter such that the option is fully exercisable on May 30, 2015.
- F3Not applicable.
Remarks
Chief Financial Officer and Chief Operating Officer