Wolchko J Scott's Form 4/A amendment
AmendedFate Therapeutics Inc (FATE) · filed Feb 4, 2022
- Accession no.
- 0000899243-22-004871
- Filed
- Feb 4, 2022
- Trade date
- Jan 20-21, 2022
- Filing delay
- 15 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jan 24, 2022
This filing lists 1 non-derivative transaction and 2 derivative transactions. It carries over 3 transactions from the original filing that it did not restate. Open-market sales total $1.59M. It was filed 15 days after the trade.
This amendment restates part of 0001209191-22-004606 (filed Jan 24, 2022). 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 20, 2022 | Common Stock | MOption exerciseAcquired | +30,000 | $2.70F2 | +$81,000 | 461,546 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 20, 2022 | Common Stock | MOption exerciseDisposed | −30,000 | $0.00 | $0 | 86,246 | Direct | |
| Jan 21, 2022 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 76,246 | 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 0001209191-22-004606 (filed Jan 24, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 20, 2022 | Common Stock | SSaleDisposed | −30,000 | $40.21 | −$1,206,300 | 431,546 | Direct | |
| Jan 21, 2022 | Common Stock | MOption exerciseAcquired | +10,000 | $2.70 | +$27,000 | 441,546 | Direct | |
| Jan 21, 2022 | Common Stock | SSaleDisposed | −10,000 | $38.02 | −$380,200 | 431,546 | 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.
- F1
This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 10, 2020.
- F2
Corrected option price.
Referenced by the price of 1 transaction in Table I.
- F3
This stock option is fully vested.
- F4
Corrected ending balance of this option which includes 36,800 shares that are vested and outstanding pursuant to a second option grant issued on January 12, 2016.
Remarks
This amended Form 4 corrects the option exercise price and ending balance of the Reporting Person's stock options that were granted on January 12, 2016 at $2.70 per share. The other transactions that were reported on the Form 4 filed on January 24, 2022 were correct and such line items are not required to be restated in this amendment.