Dulac Edward J III's Form 4 filing
Fate Therapeutics Inc (FATE) · filed Sep 30, 2021
- Accession no.
- 0001209191-21-058176
- Filed
- Sep 30, 2021
- Trade date
- Sep 28, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.22M. It was filed 2 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 |
|---|---|
| Dulac Edward J IIICIK 0001821530 | Officer (Chief Financial Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 28, 2021 | Common Stock | MOption exerciseAcquired | +17,325 | $35.52 | +$615,384 | 71,864 | Direct | |
| Sep 28, 2021 | Common Stock | SSaleDisposed | −19,460 | $62.53 | −$1,216,833.8 | 52,404 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 28, 2021 | Common Stock | MOption exerciseDisposed | −17,325 | $0.00 | $0 | 142,675 | 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.
No transaction price on this filing refers to a footnote.