Redmile Group, LLC 的 Form 4 申報
Fate Therapeutics Inc（FATE），2023/4/17 申報
- 申報編號
- 0001104659-23-046353
- 申報時間
- 2023/4/17 21:30 ET
- 交易日
- 2023/4/13-4/14
- 申報延遲
- 4 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 5 筆非衍生性交易、7 筆衍生性交易。公開市場買進合計 $15.4 萬。公開市場賣出合計 $176.6 萬。交易後 4 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Redmile Group, LLCCIK 0001425738 | 董事、持股 10% 以上大股東 |
| Green JeremyCIK 0001650527 | 董事、持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/4/13 | Common Stock | C轉換取得 | +167,205 | –F2,F3 | – | 13,135,758 | 間接 | |
| 2023/4/14 | Common Stock | S賣出處分 | −302,339 | $5.84 | −$1,765,659.76 | 12,833,419 | 間接 | |
| 2023/4/14 | Common Stock | J其他處分 | −5,492,385 | $5.84 | −$32,075,528.4 | 12,833,419 | 間接 | |
| 2023/4/14 | Common Stock | J其他取得 | +5,492,385 | $5.84 | +$32,075,528.4 | 12,833,419 | 間接 | |
| 2023/4/14 | Common Stock | P買進取得 | +25,700 | $6.00F11 | +$154,200 | 12,859,119 | 間接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/4/13 | Common Stock | C轉換處分 | −167,205 | –F2,F3 | – | 2,761,108 | 間接 | |
| 2023/4/14 | Common Stock | J其他處分 | −228,760 | $29.20F2,F3 | −$1,335,958.4 | 2,761,108 | 間接 | |
| 2023/4/14 | Common Stock | J其他取得 | +228,760 | $29.20F2,F3 | +$1,335,958.4 | 2,761,108 | 間接 | |
| 2023/4/14 | Common Stock | J其他處分 | −54,960 | $5.84 | −$320,911.44 | 257,310 | 間接 | |
| 2023/4/14 | Common Stock | J其他取得 | +54,960 | $5.84 | +$320,911.44 | 257,310 | 間接 | |
| 2023/4/14 | Common Stock | J其他處分 | −550,000 | $5.84 | −$3,212,000 | 559,100 | 間接 | |
| 2023/4/14 | Common Stock | J其他取得 | +550,000 | $5.84 | +$3,212,000 | 559,100 | 間接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F2
The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66.
表 I 有 1 筆、表 II 有 3 筆交易的價格引用這則附註。
- F3
The one-for-five conversion rate is taken into account in the amount of underlying Common Stock involved in the cross trade listed under Column 7 of Table II and used to determine the price of the Class A Preferred Stock in connection with the cross trade listed under Column 8 of Table II (which is equal to five times the price per share of the Common Stock underlying the Class A Preferred Stock at the time of the cross trade).
表 I 有 1 筆、表 II 有 3 筆交易的價格引用這則附註。
- F11
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.995 to $6.0189, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.
表 I 有 1 筆交易的價格引用這則附註。
備註
Mr. Michael Lee, a member of the board of directors of the Issuer and a managing director of Redmile, was elected to the board of the Issuer as a representative of Redmile. As a result, the Reporting Persons are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.