Filing Details

Accession Number:
0001181431-13-052840
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-10-07 14:00:41
Reporting Period:
2013-10-04
Filing Date:
2013-10-07
Accepted Time:
2013-10-07 14:00:41
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1434316 Fate Therapeutics Inc FATE Biological Products, (No Disgnostic Substances) (2836) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1219042 Robert Nelsen C/O Arch Venture Partners
8725 West Higgins Road, Suite 290
Chicago IL 60631
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-10-04 1,246,156 $0.00 1,246,156 No 4 C Indirect By ARCH Venture Fund VI, L.P.
Common Stock Acquisiton 2013-10-04 265,252 $0.00 1,511,408 No 4 C Indirect By ARCH Venture Fund VI, L.P.
Common Stock Acquisiton 2013-10-04 128,447 $6.00 1,639,855 No 4 J Indirect By ARCH Venture Fund VI, L.P.
Common Stock Acquisiton 2013-10-04 833,333 $6.00 2,473,188 No 4 P Indirect By ARCH Venture Fund VI, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By ARCH Venture Fund VI, L.P.
No 4 C Indirect By ARCH Venture Fund VI, L.P.
No 4 J Indirect By ARCH Venture Fund VI, L.P.
No 4 P Indirect By ARCH Venture Fund VI, L.P.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Convertible Preferred Stock Disposition 2013-10-04 675,493 $0.00 675,493 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2013-10-04 230,769 $0.00 265,252 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2013-10-04 570,663 $0.00 570,663 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. The aggregate number of shares of Issuer's Preferred Stock held by the Reporting Persons converted into Common Stock immediately prior to the closing of the Issuer's initial public offering and has no expiration date. These shares converted into Common Stock on a 1-for-1 basis.
  2. The aggregate number of shares of Issuer's Preferred Stock held by the Reporting Persons converted into Common Stock immediately prior to the closing of the Issuer's initial public offering and has no expiration date. These shares converted into Common Stock on approximately a 1-for-1.15 basis.
  3. These shares are owned directly by ARCH Venture Fund VI, L.P. ("ARCH Fund VI"). The sole general partner of ARCH Fund VI is ARCH Venture Partners VI, L.P. ("ARCH Partners VI"). The sole general partner of ARCH Partners VI is ARCH Venture Partners VI, LLC ("ARCH VI LLC"). The Managing Directors of ARCH VI LLC, Robert T. Nelsen, Keith Crandell and Clinton Bybee, are deemed to have voting and dispositive power over the shares and may be deemed to beneficially own certain shares held by ARCH Fund VI. Each Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose.
  4. The shares were acquired upon conversion of a convertible promissory note exempt from the definition of a derivative security because the conversion price did not become fixed until automatic conversion at the time of the closing of the Issuer's initial public offering.