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FATE THERAPEUTICS INC — Director's Dealing 2013
Oct 1, 2013
34091_dirs_2013-09-30_9424d5fd-a526-4dde-a002-1fc1309d57bc.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: FATE THERAPEUTICS INC (FATE)
CIK: 0001434316
Period of Report: 2013-09-30
Reporting Person: Shoemaker Daniel D (Chief Technology Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 34615 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $1.63 | 2022-02-08 | Common Stock (31784) | Direct | |
| Stock Option (right to buy) | $1.63 | 2022-02-08 | Common Stock (19200) | Direct | |
| Stock Option (right to buy) | $1.37 | 2022-07-23 | Common Stock (20294) | Direct | |
| Stock Option (right to buy) | $7.87 | 2023-08-11 | Common Stock (24615) | Direct |
Footnotes
F1: 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.
F2: 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.
F3: 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.
F4: 1/4th of the shares subject to this option shall vest and become exercisable in 48 equal monthly installments from the completion of the Issuer's initial public offering, and the remaining 3/4th of the shares are divided into five equal parts, each of which will vest and become exercisable in 24 equal monthly installments following the Issuer's achievement of each of five specified performance based milestones.