Filing Details

Accession Number:
0001586939-14-000006
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-06-12 17:45:11
Reporting Period:
2014-06-11
Filing Date:
2014-06-12
Accepted Time:
2014-06-12 17:45:11
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
1586939 D Peter Flynn C/O Fate Therapeutics, Inc.
3535 General Atomics Court, Suite 200
San Diego CA 92121
See Remarks No Yes No 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 2014-06-11 1,017 $1.63 5,056 No 4 M Direct
Common Stock Disposition 2014-06-11 1,017 $7.00 4,039 No 4 S Direct
Common Stock Acquisiton 2014-06-12 3,949 $1.63 7,988 No 4 M Direct
Common Stock Acquisiton 2014-06-12 422 $1.37 8,410 No 4 M Direct
Common Stock Acquisiton 2014-06-12 1,100 $1.63 9,510 No 4 M Direct
Common Stock Disposition 2014-06-12 5,471 $7.00 4,039 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2014-06-11 1,017 $0.00 1,017 $1.63
Common Stock Stock Option (right to buy) Disposition 2014-06-12 3,949 $0.00 3,949 $1.63
Common Stock Stock Option (right to buy) Disposition 2014-06-12 422 $0.00 422 $1.37
Common Stock Stock Option (right to buy) Disposition 2014-06-12 1,100 $0.00 1,100 $1.63
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
27,840 2022-02-08 No 4 M Direct
23,891 2022-02-08 No 4 M Direct
19,450 2022-07-23 No 4 M Direct
24,200 2022-02-08 No 4 M Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 19, 2013.
  2. The shares subject to this 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 this option is fully exercisable on May 30, 2015. 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.
  3. Not applicable.
  4. The 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.
  5. The shares subject to this option shall vest and become exercisable in 24 equal monthly installments beginning on the date one month after the completion of the Issuer's initial public offering. This option is subject to accelerated vesting upon a change of control of the Issuer after the completion of the Issuer's initial public offering.