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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 Insider Title 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
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
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
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. 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").
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. 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.
  9. 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.
  10. 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.
  11. 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.
  12. 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.