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FATE THERAPEUTICS INC — Director's Dealing 2020
Nov 6, 2020
34091_dirs_2020-11-06_d5f8a33c-a562-42ad-be30-2469233a37fd.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: 2020-11-04
Reporting Person: TAHL CINDY (General Counsel and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-11-04 | Common stock | M | 51519 | $2.73 | Acquired | 151037 | Direct |
| 2020-11-04 | Common stock | S | 51519 | $50.4113 | Disposed | 99518 | Direct |
| 2020-11-05 | Common stock | M | 9282 | $2.73 | Acquired | 108800 | Direct |
| 2020-11-05 | Common stock | M | 10000 | $2.90 | Acquired | 118800 | Direct |
| 2020-11-05 | Common stock | S | 16682 | $50.5487 | Disposed | 102118 | Direct |
| 2020-11-05 | Common stock | S | 2600 | $51.1533 | Disposed | 99518 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-11-04 | Stock Option (right to buy) | $2.73 | M | 51519 | Disposed | 2027-01-03 | Common Stock (51519) | Direct |
| 2020-11-05 | Stock Option (right to buy) | $2.73 | M | 9282 | Disposed | 2027-01-03 | Common Stock (9282) | Direct |
| 2020-11-05 | Stock Option (right to buy) | $2.90 | M | 10000 | Disposed | 2026-01-07 | Common Stock (10000) | Direct |
Footnotes
F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020.
F2: Represents the weighted average sale price of the shares sold ranging from $50.00 to $50.99 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price.
F3: Represents the weighted average sale price of the shares sold ranging from $51.01 to $51.31 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price.
F4: The shares subject to this option shall vest and become exercisable in 48 monthly installments beginning on February 4, 2017 such that this option is fully exercisable on January 4, 2021.
F5: Not applicable.
F6: This option is fully vested.