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FATE THERAPEUTICS INC — Director's Dealing 2014
Jun 12, 2014
34091_dirs_2014-06-12_8bfc6074-7371-4bee-a816-b473602556bf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: FATE THERAPEUTICS INC (FATE)
CIK: 0001434316
Period of Report: 2014-06-11
Reporting Person: Flynn Peter D (See remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-06-11 | Common Stock | M | 1017 | $1.63 | Acquired | 5056 | Direct |
| 2014-06-11 | Common Stock | S | 1017 | $7 | Disposed | 4039 | Direct |
| 2014-06-12 | Common Stock | M | 3949 | $1.63 | Acquired | 7988 | Direct |
| 2014-06-12 | Common Stock | M | 422 | $1.37 | Acquired | 8410 | Direct |
| 2014-06-12 | Common Stock | M | 1100 | $1.63 | Acquired | 9510 | Direct |
| 2014-06-12 | Common Stock | S | 5471 | $7 | Disposed | 4039 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-06-11 | Stock Option (right to buy) | $1.63 | M | 1017 | Disposed | 2022-02-08 | Common Stock (1017) | Direct |
| 2014-06-12 | Stock Option (right to buy) | $1.63 | M | 3949 | Disposed | 2022-02-08 | Common Stock (3949) | Direct |
| 2014-06-12 | Stock Option (right to buy) | $1.37 | M | 422 | Disposed | 2022-07-23 | Common Stock (422) | Direct |
| 2014-06-12 | Stock Option (right to buy) | $1.63 | M | 1100 | Disposed | 2022-02-08 | Common Stock (1100) | Direct |
Footnotes
F1: 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.
F2: 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.
F3: Not applicable.
F4: 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.
F5: 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.