Wolchko J Scott's Form 4 filing
Fate Therapeutics Inc (FATE) · filed Jul 26, 2021
- Accession no.
- 0000899243-21-029868
- Filed
- Jul 26, 2021
- Trade date
- Jul 22-23, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 3 derivative transactions. Open-market sales total $5.14M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Wolchko J ScottCIK 0001586893 | Director, Officer (President and CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 22, 2021 | Common Stock | MOption exerciseAcquired | +30,000 | $2.73 | +$81,900 | 423,793 | Direct | |
| Jul 22, 2021 | Common Stock | SSaleDisposed | −6,627 | $85.38F2 | −$565,813.26 | 417,166 | Direct | |
| Jul 22, 2021 | Common Stock | SSaleDisposed | −21,773 | $86.19F3 | −$1,876,614.87 | 395,393 | Direct | |
| Jul 22, 2021 | Common Stock | SSaleDisposed | −1,600 | $86.90F4 | −$139,040 | 393,793 | Direct | |
| Jul 23, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $2.73 | +$27,300 | 403,793 | Direct | |
| Jul 23, 2021 | Common Stock | MOption exerciseAcquired | +20,000 | $4.84 | +$96,800 | 423,793 | Direct | |
| Jul 23, 2021 | Common Stock | SSaleDisposed | −30,000 | $85.28 | −$2,558,400 | 393,793 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 22, 2021 | Common Stock | MOption exerciseDisposed | −30,000 | $0.00 | $0 | 100,000 | Direct | |
| Jul 23, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 90,000 | Direct | |
| Jul 23, 2021 | Common Stock | MOption exerciseDisposed | −20,000 | $0.00 | $0 | 24,846 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Represents the weighted average sale price of the shares sold ranging from $84.76 to $85.74 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.
Referenced by the price of 1 transaction in Table I.
- F3
Represents the weighted average sale price of the shares sold ranging from $85.76 to $86.75 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.
Referenced by the price of 1 transaction in Table I.
- F4
Represents the weighted average sale price of the shares sold ranging from $86.76 to $87.15 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.
Referenced by the price of 1 transaction in Table I.