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Filing Details

Accession Number:: 0001391289-13-000005
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-10-07 16:18:45
Reporting Period:: 2013-10-04

Filing Date:: 2013-10-07
Accepted Time:: 2013-10-07 16:18:45
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	Director	Officer	Large Shareholder	Other
1391289	Venrock Associates V Lp	C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304	No	No	Yes	No
1395760	P L V Partners Venrock	C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304	No	No	Yes	No
1444112	Vef Management V, Llc	C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304	No	No	Yes	No
1444114	Venrock Entrepreneurs Fund V, L.p.	C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304	No	No	Yes	No
1444116	Venrock Management V, Llc	C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304	No	No	Yes	No
1444117	Venrock Partners Management V, Llc	C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304	No	No	Yes	No

Reported Non-Derivative Transactions

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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	675,492	$0.00	675,492	No	4	C	Indirect	By Funds
Common Stock	Acquisiton	2013-10-04	265,252	$0.00	940,744	No	4	C	Indirect	By Funds
Common Stock	Acquisiton	2013-10-04	570,663	$0.00	1,511,407	No	4	C	Indirect	By Funds
Common Stock	Acquisiton	2013-10-04	128,447	$6.00	1,639,854	No	4	J	Indirect	By Funds
Common Stock	Acquisiton	2013-10-04	833,333	$6.00	2,473,187	No	4	P	Indirect	By Funds

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By Funds
No	4	C	Indirect	By Funds
No	4	C	Indirect	By Funds
No	4	J	Indirect	By Funds
No	4	P	Indirect	By Funds

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Convertible Preferred Stock	Disposition	2013-10-04	675,492	$0.00	675,492	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2013-10-04	265,252	$0.00	265,252	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2013-10-04	570,663	$0.00	570,663	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

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.
Consists of an aggregate of 609,497 shares of Series A Convertible Preferred Stock ("Series A Stock") held by Venrock Associates V, L.P. ("Venrock"), 51,675 shares of Series A Stock held by Venrock Partners V, L.P. ("Venrock Partners"), and 14,320 shares of Series A Stock held by Venrock Entrepreneurs Fund V, L.P. ("Venrock Entrepreneurs" and together with Venrock and Venrock Partners, the "Venrock Entities").
The sole general partner of Venrock is Venrock Management V, LLC ("VM5"). The sole general partner of Venrock Partners is Venrock Partners Management V, LLC ("VPM5"). The sole general partner of Venrock Entrepreneurs is VEF Management V, LLC ("VEFM5"). VM5, VPM5 and VEFM5 disclaim beneficial ownership over all shares held by the Venrock Entities, except to the extent of their indirect pecuniary interests therein.
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.
Consists of an aggregate of 239,337 shares of Series B Convertible Preferred Stock ("Series B Stock") held by Venrock, 20,292 shares of Series B Stock held by Venrock Partners, and 5,623 shares of Series B Stock held by Venrock Entrepreneurs.
Consists of an aggregate of 514,910 shares of Series C Convertible Preferred Stock ("Series C Stock") held by Venrock, 43,655 shares of Series C Stock held by Venrock Partners, and 12,098 shares of Series C Stock held by Venrock Entrepreneurs.
Consists of an aggregate of 609,497 shares of Common Stock held by Venrock, 51,675 shares of Common Stock held by Venrock Partners, and 14,320 shares of Common Stock held by Venrock Entrepreneurs.
Consists of an aggregate of 848,834 shares of Common Stock held by Venrock, 71,967 shares of Common Stock held by Venrock Partners, and 19,943 shares of Common Stock held by Venrock Entrepreneurs.
Consists of an aggregate of 1,363,744 shares of Common Stock held by Venrock, 115,622 shares of Common Stock held by Venrock Partners, and 32,041 shares of Common Stock held by Venrock Entrepreneurs.
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.
Consists of an aggregate of 1,479,642 shares of Common Stock held by Venrock, 125,448 shares of Common Stock held by Venrock Partners, and 34,764 shares of Common Stock held by Venrock Entrepreneurs.
Consists of an aggregate of 2,231,558 shares of Common Stock held by Venrock, 189,198 shares of Common Stock held by Venrock Partners, and 52,431 shares of Common Stock held by Venrock Entrepreneurs.