Statement of Changes in Beneficial Ownership (4)
July 02 2021 - 7:09PM
Edgar (US Regulatory)
FORM 4
[ ]
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
TAHL CINDY |
2. Issuer Name and Ticker or Trading Symbol
FATE THERAPEUTICS INC
[
FATE
]
|
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)
7/1/2021 |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 7/1/2021 | | M(1) | | 5534 | A | $7.87 | 113582 | D | |
Common Stock | 7/1/2021 | | M(2) | | 6932 | A | $4.84 | 120514 | D | |
Common Stock | 7/1/2021 | | M(2) | | 27685 | A | $4.89 | 148199 | D | |
Common Stock | 7/1/2021 | | M(2) | | 15383 | A | $6.55 | 163582 | D | |
Common Stock | 7/1/2021 | | S(1) | | 100 | D | $84.83 | 163482 | D | |
Common Stock | 7/1/2021 | | S(1) | | 200 | D | $86.56 (3) | 163282 | D | |
Common Stock | 7/1/2021 | | S(1) | | 1145 | D | $87.8953 (4) | 162137 | D | |
Common Stock | 7/1/2021 | | S(1) | | 400 | D | $88.9325 (5) | 161737 | D | |
Common Stock | 7/1/2021 | | S(1) | | 707 | D | $90.3016 (6) | 161030 | D | |
Common Stock | 7/1/2021 | | S(1) | | 225 | D | $91.0646 (7) | 160805 | D | |
Common Stock | 7/1/2021 | | S(1) | | 432 | D | $92.2585 (8) | 160373 | D | |
Common Stock | 7/1/2021 | | S(1) | | 400 | D | $93.3075 (9) | 159973 | D | |
Common Stock | 7/1/2021 | | S(1) | | 1825 | D | $94.6267 (10) | 158148 | D | |
Common Stock | 7/1/2021 | | S(1) | | 100 | D | $95.30 | 158048 | D | |
Common Stock | 7/1/2021 | | S(2) | | 50000 | D | $84.56 | 108048 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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) | $7.87 | 7/1/2021 | | M (1) | | | 5534 | (11) | 8/12/2023 | Common Stock | 5534 | $0.00 | 0 | D | |
Stock Option (Right to Buy) | $4.84 | 7/1/2021 | | M (2) | | | 6932 | (11) | 1/5/2025 | Common Stock | 6932 | $0.00 | 27628 | D | |
Stock Option (Right to Buy) | $4.89 | 7/1/2021 | | M (2) | | | 27685 | (11) | 10/15/2025 | Common Stock | 27685 | $0.00 | 22315 | D | |
Stock Option (Right to Buy) | $6.55 | 7/1/2021 | | M (2) | | | 15383 | (11) | 1/16/2028 | Common Stock | 15383 | $0.00 | 166643 | 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) | This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on January 8, 2021. |
(3) | Represents the weighted average sale price of the shares sold ranging from $86.47 to $86.65 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 within the ranges set forth in footnotes 3 through 10. |
(4) | Represents the weighted average sale price of the shares sold ranging from $87.50 to $88.28 per share. |
(5) | Represents the weighted average sale price of the shares sold ranging from $88.65 to $89.48 per share. |
(6) | Represents the weighted average sale price of the shares sold ranging from $89.78 to $90.68 per share. |
(7) | Represents the weighted average sale price of the shares sold ranging from $90.81 to $91.64 per share. |
(8) | Represents the weighted average sale price of the shares sold ranging from $91.88 to $92.41 per share. |
(9) | Represents the weighted average sale price of the shares sold ranging from $93.21 to $93.54 per share. |
(10) | Represents the weighted average sale price of the shares sold ranging from $94.22 to $95.12 per share. |
(11) | This option is fully vested. |
Remarks: General Counsel and Secretary |
Reporting Owners
|
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 |
|
| General Counsel and Secretary |
|
Signatures
|
/s/ Cindy Tahl | | 7/2/2021 |
**Signature of Reporting Person | Date |
Fate Therapeutics (NASDAQ:FATE)
Historical Stock Chart
From Aug 2024 to Sep 2024
Fate Therapeutics (NASDAQ:FATE)
Historical Stock Chart
From Sep 2023 to Sep 2024