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FATE THERAPEUTICS INC — Director's Dealing 2013
Oct 1, 2013
34091_dirs_2013-09-30_c6a7846b-b27d-4152-8c22-3c7df99219b3.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: Polaris Venture Management Co. V, L.L.C. (10% Owner)
Reporting Person: Polaris Venture Partners V, L.P. (10% Owner)
Reporting Person: Polaris Venture Partners Entrepreneurs' Fund V, L.P. (10% Owner)
Reporting Person: Polaris Venture Partners Founders' Fund V, L.P. (10% Owner)
Reporting Person: Polaris Venture Partners Special Founders' Fund V, L.P. (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Convertible Preferred Stock | $ | Common Stock (651806) | Indirect | ||
| Series A Convertible Preferred Stock | $ | Common Stock (12704) | Indirect | ||
| Series A Convertible Preferred Stock | $ | Common Stock (4465) | Indirect | ||
| Series A Convertible Preferred Stock | $ | Common Stock (6518) | Indirect | ||
| Series B Convertible Preferred Stock | $ | Common Stock (255950) | Indirect | ||
| Series B Convertible Preferred Stock | $ | Common Stock (4988) | Indirect | ||
| Series B Convertible Preferred Stock | $ | Common Stock (1753) | Indirect | ||
| Series B Convertible Preferred Stock | $ | Common Stock (2560) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (550653) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (10732) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (3772) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (5506) | Indirect |
Footnotes
F1: The aggregate number of shares of Issuer's Preferred Stock held by the Reporting Person converts into Common Stock immediately prior to the closing of the Issuer's initial public offering and has no expiration date. These shares convert into Common Stock on a 1-for-1 basis.
F2: The aggregate number of shares of Issuer's Preferred Stock held by the Reporting Person converts into Common Stock immediately prior to the closing of the Issuer's initial public offering and has no expiration date. These shares convert into Common Stock on approximately a 1-for-1.15 basis.
F3: These shares are owned directly by Polaris Venture Partners V, L.P., whose sole general partner is Polaris Venture Management Co. V, LLC ("Polaris Management"). The members of North Star Venture Management 2010 LLC are also members of Polaris Management, and as members of the general partner, they may be deemed to share voting and investment power of such shares. The Reporting Person is a member of Polaris Management and has shared voting and investment power over such shares and may be deemed the indirect beneficial owner of such shares. The 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 the Reporting Person is the beneficial owner of such securities for Section 16 or any other purpose.
F4: These shares are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P., whose sole general partner is Polaris Management. The members of North Star Venture Management 2010 LLC are also members of Polaris Management, and as members of the general partner, they may be deemed to share voting and investment power of such shares. The Reporting Person is a member of Polaris Management and has shared voting and investment power over such shares and may be deemed the indirect beneficial owner of such shares. The 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 the Reporting Person is the beneficial owner of such securities for Section 16 or any other purpose.
F5: These shares are owned directly by Polaris Venture Partners Founders' Fund V, L.P., whose sole general partner is Polaris Management. The members of North Star Venture Management 2010 LLC are also members of Polaris Management, and as members of the general partner, they may be deemed to share voting and investment power of such shares. The Reporting Person is a member of Polaris Management and has shared voting and investment power over such shares and may be deemed the indirect beneficial owner of such shares. The 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 the Reporting Person is the beneficial owner of such securities for Section 16 or any other purpose.
F6: These shares are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P., whose sole general partner is Polaris Management. The members of North Star Venture Management 2010 LLC are also members of Polaris Management, and as members of the general partner, they may be deemed to share voting and investment power of such shares. The Reporting Person is a member of Polaris Management and has shared voting and investment power over such shares and may be deemed the indirect beneficial owner of such shares. The 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 the Reporting Person is the beneficial owner of such securities for Section 16 or any other purpose.