Statement of Changes in Beneficial Ownership (4)
October 02 2020 - 4:02PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
TAHL CINDY |
2. Issuer Name and Ticker or Trading Symbol
FATE THERAPEUTICS INC
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FATE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) General Counsel and Secretary |
(Last)
(First)
(Middle)
C/O FATE THERAPEUTICS, INC.;, 3535 GENERAL ATOMICS COURT #200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2020 |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common stock | 10/1/2020 | | M(1) | | 35000 | A | $2.73 | 134518 | D | |
Common stock | 10/1/2020 | | S(1) | | 21757 | D | $40.2584 (2) | 112761 | D | |
Common stock | 10/1/2020 | | S(1) | | 6260 | D | $41.0917 (3) | 106501 | D | |
Common stock | 10/1/2020 | | S(1) | | 6983 | D | $41.9489 (4) | 99518 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $2.73 | 10/1/2020 | | M (1) | | | 35000 | (5) | 1/3/2027 | Common Stock | 35000 | (6) | 115000 | D | |
Explanation of Responses: |
(1) | This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020. |
(2) | Represents the weighted average sale price of the shares sold ranging from $39.65 to $40.63 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. |
(3) | Represents the weighted average sale price of the shares sold ranging from $40.65 to $41.63 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. |
(4) | Represents the weighted average sale price of the shares sold ranging from $41.66 to $42.21 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. |
(5) | 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. |
(6) | Not applicable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
TAHL CINDY C/O FATE THERAPEUTICS, INC.; 3535 GENERAL ATOMICS COURT #200 SAN DIEGO, CA 92121 |
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| General Counsel and Secretary |
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Signatures
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/s/ Cindy R. Tahl | | 10/2/2020 |
**Signature of Reporting Person | Date |
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