Chu Yu-Waye's Form 4 filing
Fate Therapeutics Inc (FATE) · filed Dec 13, 2021
- Accession no.
- 0001209191-21-069313
- Filed
- Dec 13, 2021
- Trade date
- Dec 10, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 1 derivative transaction. Open-market sales total $385.9K. It was filed 3 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 |
|---|---|
| Chu Yu-WayeCIK 0001854586 | Officer (Senior VP Clinical Development) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +7,500 | $16.32 | +$122,400 | 133,258 | Direct | |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −2,097 | $49.32F2 | −$103,424.04 | 131,161 | Direct | |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −900 | $50.42F3 | −$45,378 | 130,261 | Direct | |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −1,045 | $51.08F4 | −$53,378.6 | 129,216 | Direct | |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −1,822 | $52.37F5 | −$95,418.14 | 127,394 | Direct | |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −1,031 | $53.66F6 | −$55,323.46 | 126,363 | Direct | |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −600 | $54.58F7 | −$32,748 | 126,763 | Direct | |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −5 | $55.54 | −$277.7 | 125,758 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 10, 2021 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 105,000 | 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 $48.95 to $49.87 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 2 through 7.
Referenced by the price of 1 transaction in Table I.
- F3
Represents the weighted average sale price of the shares sold ranging from $49.96 to $50.89 per share.
Referenced by the price of 1 transaction in Table I.
- F4
Represents the weighted average sale price of the shares sold ranging from $50.96 to $51.22 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 $52.09 to $52.87 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 $53.10 to $54.02 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 $54.33 to $54.98 per share.
Referenced by the price of 1 transaction in Table I.