Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-19-053272
Date:2019-10-15
Issuer: FATE THERAPEUTICS INC (FATE)
Original Submission Date:

Reporting Person:

SHOEMAKER DANIEL D
C/O FATE THERAPEUTICS, INC.;
3535 GENERAL ATOMICS COURT #200 SAN DIEGO, CA 92121

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-10-15 S 11,800 d $14.29 123,791 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 required number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of 33,000 shares of common stock underlying restricted stock units ("rsus") granted to the reporting person on october 15, 2015. this sale was made pursuant to an irrevocable election on december 19, 2018 by the reporting person to satisfy tax withholding obligations through a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
f2 the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $13.94 to $14.59 per share. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
f3 all remaining shares of common stock held by the reporting person are subject to the terms of a lock-up agreement with jefferies llc and citigroup global markets inc. (the "representatives"), as representatives of the underwriters in the company's public offering pursuant to a prospectus supplement dated september 11, 2019, pursuant to which the reporting person agreed, without the prior written consent of the representatives, and subject to limited exceptions, not to sell, offer to sell, contract to sell or lend, effect any short sale, pledge, hypothecate or grant any security interest in, or otherwise transfer or dispose of, any shares of common stock, either directly or indirectly.
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