Tahl Cindy's Form 4/A amendment
AmendedFate Therapeutics Inc (FATE) · filed Jan 27, 2022
- Accession no.
- 0000899243-22-003421
- Filed
- Jan 27, 2022
- Trade date
- Jul 1, 2021
- Filing delay
- 210 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jul 2, 2021
This filing lists 1 derivative transaction. It carries over 18 transactions from the original filing that it did not restate. Open-market sales total $4.73M. It was filed 210 days after the trade.
This amendment restates part of 0001209191-21-045182 (filed Jul 2, 2021). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Tahl CindyCIK 0001655472 | Officer (General Counsel and Secretary) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
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 1, 2021 | Common Stock | MOption exerciseDisposed | −15,383 | $0.00 | $0 | 184,777 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001209191-21-045182 (filed Jul 2, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +5,534 | $7.87 | +$43,552.58 | 113,582 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +6,932 | $4.84 | +$33,550.88 | 120,514 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +27,685 | $4.89 | +$135,379.65 | 148,199 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +15,383 | $6.55 | +$100,758.65 | 163,582 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −100 | $84.83 | −$8,483 | 163,482 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −200 | $86.56F3 | −$17,312 | 163,282 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −1,145 | $87.90F4 | −$100,645.5 | 162,137 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −400 | $88.93F5 | −$35,572 | 161,737 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −707 | $90.30F6 | −$63,842.1 | 161,030 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −225 | $91.06F7 | −$20,488.5 | 160,805 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −432 | $92.26F8 | −$39,856.32 | 160,373 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −400 | $93.31F9 | −$37,324 | 159,973 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −1,825 | $94.63F10 | −$172,699.75 | 158,148 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −100 | $95.30 | −$9,530 | 158,048 | Direct | |
| Jul 1, 2021 | Common Stock | SSaleDisposed | −50,000 | $84.56 | −$4,228,000 | 108,048 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −5,534 | $0.00 | $0 | 0 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −6,932 | $0.00 | $0 | 27,628 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −27,685 | $0.00 | $0 | 22,315 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F3
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.
Referenced by the price of 1 transaction in Table I.
- F4
Represents the weighted average sale price of the shares sold ranging from $87.50 to $88.28 per share.
Referenced by the price of 1 transaction in Table I.
- F5
Represents the weighted average sale price of the shares sold ranging from $88.65 to $89.48 per share.
Referenced by the price of 1 transaction in Table I.
- F6
Represents the weighted average sale price of the shares sold ranging from $89.78 to $90.68 per share.
Referenced by the price of 1 transaction in Table I.
- F7
Represents the weighted average sale price of the shares sold ranging from $90.81 to $91.64 per share.
Referenced by the price of 1 transaction in Table I.
- F8
Represents the weighted average sale price of the shares sold ranging from $91.88 to $92.41 per share.
Referenced by the price of 1 transaction in Table I.
- F9
Represents the weighted average sale price of the shares sold ranging from $93.21 to $93.54 per share.
Referenced by the price of 1 transaction in Table I.
- F10
Represents the weighted average sale price of the shares sold ranging from $94.22 to $95.12 per share.
Referenced by the price of 1 transaction in Table I.
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.
- F1
The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 16, 2018 such that this option will be fully exercisable on January 16, 2022.
- F2
Corrected ending balance of shares underlying this option as of July 1, 2021.
Remarks
This amended Form 4 corrects the vesting schedule footnote and the ending balance of this stock option grant as of July 1, 2021. The other transactions reported in the original Form 4 that was filed on July 2, 2021 were correct and are not required to be restated in this amendment.