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Nasdaq · USD

FATE

FATE THERAPEUTICS INC

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Tapewire entity
5968
SEC CIK
0001434316
Parsed reports
323

Last 12 months

Inside the activity.

0 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202602
Feb 202600
Mar 202600
Apr 202600
May 202602
Jun 202600
Jul 202600
Aug 202602
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 01, 2020 Filed Oct 2, 2020 20:01 UTC
TAHL CINDYGeneral Counsel and Secretary
SaleCommon stock 6,260 $41.09 $257,234.04
Disclosure

SEC source: 0001209191-20-053043 · doc4.xml · nonDerivative · entry 3

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,501

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020.

F3 · price: Represents the weighted average sale price of the shares sold ranging from $40.65 to $41.63 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.

Read SEC document
October 01, 2020 Filed Oct 2, 2020 20:01 UTC
TAHL CINDYGeneral Counsel and Secretary
SaleCommon stock 21,757 $40.26 $875,902.01
Disclosure

SEC source: 0001209191-20-053043 · doc4.xml · nonDerivative · entry 2

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,761

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $39.65 to $40.63 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.

Read SEC document
October 01, 2020 Filed Oct 2, 2020 20:01 UTC
TAHL CINDYGeneral Counsel and Secretary
Exercise / conversionCommon stock 35,000 $2.73 $95,550.00
Disclosure

SEC source: 0001209191-20-053043 · doc4.xml · nonDerivative · entry 1

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,518

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:02 UTC
Valamehr BahramChief Development Officer
Exercise / conversionStock Option (right to buy) · Derivative 21,924 Not disclosed Strike: $2.90 Not disclosed
Disclosure

SEC source: 0001209191-20-050683 · doc4.xml · derivative · entry 8

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,156

Underlying: Common Stock · 21,924 shares

Expires 2026-01-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2020.

F7 · price: Not applicable.

F6 · derivative.exercise_date: This option is fully vested.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:02 UTC
Valamehr BahramChief Development Officer
Exercise / conversionStock Option (right to buy) · Derivative 3,076 Not disclosed Strike: $1.69 Not disclosed
Disclosure

SEC source: 0001209191-20-050683 · doc4.xml · derivative · entry 7

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,076 shares

Expires 2021-03-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2020.

F7 · price: Not applicable.

F6 · derivative.exercise_date: This option is fully vested.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:02 UTC
Valamehr BahramChief Development Officer
SaleCommon stock 600 $37.49 $22,494.00
Disclosure

SEC source: 0001209191-20-050683 · doc4.xml · nonDerivative · entry 6

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,211

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2020.

F5 · price: Represents the weighted average sale price of the shares sold ranging from $37.47 to $37.51 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.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:02 UTC
Valamehr BahramChief Development Officer
SaleCommon stock 7,016 $36.93 $259,084.74
Disclosure

SEC source: 0001209191-20-050683 · doc4.xml · nonDerivative · entry 5

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,811

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2020.

F4 · price: Represents the weighted average sale price of the shares sold ranging from $36.47 to $37.45 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.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:02 UTC
Valamehr BahramChief Development Officer
SaleCommon stock 16,784 $36.03 $604,653.67
Disclosure

SEC source: 0001209191-20-050683 · doc4.xml · nonDerivative · entry 4

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,827

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2020.

F3 · price: Represents the weighted average sale price of the shares sold ranging from $35.47 to $36.46 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.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:02 UTC
Valamehr BahramChief Development Officer
SaleCommon stock 600 $34.65 $20,791.98
Disclosure

SEC source: 0001209191-20-050683 · doc4.xml · nonDerivative · entry 3

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,611

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2020.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $34.26 to $35.05 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.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:02 UTC
Valamehr BahramChief Development Officer
Exercise / conversionCommon stock 21,924 $2.90 $63,579.60
Disclosure

SEC source: 0001209191-20-050683 · doc4.xml · nonDerivative · entry 2

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,211

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2020.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:02 UTC
Valamehr BahramChief Development Officer
Exercise / conversionCommon stock 3,076 $1.69 $5,198.44
Disclosure

SEC source: 0001209191-20-050683 · doc4.xml · nonDerivative · entry 1

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,287

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2020.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:01 UTC
Shoemaker Daniel DChief Scientific Officer
SaleCommon stock 5,713 $37.12 $212,073.99
Disclosure

SEC source: 0001209191-20-050681 · doc4.xml · nonDerivative · entry 3

Shoemaker Daniel D · CIK 0001586892 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,091

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 12, 2020.

F4 · price: Represents the weighted average sale price of the shares sold ranging from $36.69 to $37.51 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.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:01 UTC
Shoemaker Daniel DChief Scientific Officer
SaleCommon stock 17,887 $36.11 $645,908.51
Disclosure

SEC source: 0001209191-20-050681 · doc4.xml · nonDerivative · entry 2

Shoemaker Daniel D · CIK 0001586892 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,804

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 12, 2020.

F3 · price: Represents the weighted average sale price of the shares sold ranging from $35.68 to $36.65 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.

Read SEC document
September 14, 2020 Filed Sep 16, 2020 20:01 UTC
Shoemaker Daniel DChief Scientific Officer
SaleCommon stock 1,400 $35.40 $49,557.06
Disclosure

SEC source: 0001209191-20-050681 · doc4.xml · nonDerivative · entry 1

Shoemaker Daniel D · CIK 0001586892 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,691

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 12, 2020.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $34.68 to $35.67 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.

Read SEC document
August 17, 2020 Filed Aug 19, 2020 20:12 UTC
Dulac Edward J IIIChief Financial Officer
GrantStock Option (right to buy) · Derivative 160,000 $0.00 Strike: $35.52 $0.00
Disclosure

SEC source: 0001209191-20-047483 · doc4.xml · derivative · entry 2

Dulac Edward J III · CIK 0001821530 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2030-08-17

F2 · derivative.exercise_date: The option shall vest as to 25% of the underlying shares on the first anniversary of the grant date and thereafter on a monthly basis for 36 additional months, subject to the Reporting Person's continuous service to the Issuer as of each such vesting date.

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August 17, 2020 Filed Aug 19, 2020 20:12 UTC
Dulac Edward J IIIChief Financial Officer
GrantCommon stock 40,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047483 · doc4.xml · nonDerivative · entry 1

Dulac Edward J III · CIK 0001821530 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F1 · kind: Exempt grant of restricted stock units pursuant to the Issuer's Inducement Equity Plan. The units will vest in four annual installments after the grant date, subject to the Reporting Person's continuous service to the Issuer as of each such vesting date.

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June 11, 2020 Filed Jun 18, 2020 00:25 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
PurchaseCommon Stock 1,412,928 $28.31 $39,999,991.68
Disclosure

SEC source: 0001104659-20-074301 · tm2022865d1_4.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 12,629,737

F1 · ownership.nature: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: 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.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:21 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $26.59 $0.00
Disclosure

SEC source: 0001104659-20-056897 · tm2018581d2_4.xml · derivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-05-01

F1 · derivative.exercise_date: The shares subject to the stock option will vest in full upon the earlier of (i) May 1, 2021 or (ii) the date of the Issuer's 2021 Annual Meeting of Stockholders, subject to Michael Lee's continued service on the board of directors of the Issuer through each vesting date.

F2 · ownership.nature: The stock option was granted to Mr. Lee, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Lee holds this stock option as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the stock option to Redmile. Mr. Lee disclaims beneficial ownership of the stock option, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: The stock option may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the stock option except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · ownership.nature: Mr. 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.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:21 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $26.59 $0.00
Disclosure

SEC source: 0001104659-20-056896 · tm2018581d1_4.xml · derivative · entry 1

Lee Michael Stewart · CIK 0001748010 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-05-01

F1 · derivative.exercise_date: The shares subject to the stock option will vest in full upon the earlier of (i) May 1, 2021 or (ii) the date of the Issuer's 2021 Annual Meeting of Stockholders, subject to Michael Lee's continued service on the board of directors of the Issuer through each vesting date.

F2 · ownership.direct: The stock option was granted to Mr. Lee in connection with his service as a member of the Board of Directors of the Issuer. Mr. Lee, a managing director of Redmile, was elected to the board of the Issuer as a representative of Redmile Group, LLC ("Redmile"). Pursuant to the policies of Redmile, Mr. Lee holds this stock option as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the stock option to Redmile. Mr. Lee disclaims beneficial ownership of the stock option, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.direct: The stock option may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the stock option except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · ownership.direct: Mr. Lee was elected to the board of directors of the Issuer as a representative of Redmile. As a result, Redmile and Mr. Green are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:19 UTC GrantStock Option (right to buy) · Derivative 16,000 Not disclosed Strike: $26.59 Not disclosed
Disclosure

SEC source: 0001209191-20-027107 · doc4.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-05-01

F2 · price: Not applicable.

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 1, 2021 or (ii) the date of the Issuer's 2021 Annual Meeting of Stockholders, subject to the recipient's continued service on the Issuer's Board of Directors.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:17 UTC GrantStock Option (right to buy) · Derivative 16,000 Not disclosed Strike: $26.59 Not disclosed
Disclosure

SEC source: 0001209191-20-027100 · doc4.xml · derivative · entry 1

MENDLEIN JOHN · CIK 0001238362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-05-01

F2 · price: Not applicable.

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 1, 2021 or (ii) the date of the Issuer's 2021 Annual Meeting of Stockholders, subject to the recipient's continued service on the Issuer's Board of Directors.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:15 UTC
Jooss KarinDirector
GrantStock Option (right to buy) · Derivative 16,000 Not disclosed Strike: $26.59 Not disclosed
Disclosure

SEC source: 0001209191-20-027090 · doc4.xml · derivative · entry 1

Jooss Karin · CIK 0001754280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-05-01

F2 · price: Not applicable.

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 1, 2021 or (ii) the date of the Issuer's 2021 Annual Meeting of Stockholders, subject to the recipient's continued service on the Issuer's Board of Directors.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:14 UTC GrantStock Option (right to buy) · Derivative 16,000 Not disclosed Strike: $26.59 Not disclosed
Disclosure

SEC source: 0001209191-20-027086 · doc4.xml · derivative · entry 2

HERSHBERG ROBERT · CIK 0001274139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-05-01

F2 · price: Not applicable.

F3 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 1, 2021 or (ii) the date of the Issuer's 2021 Annual Meeting of Stockholders, subject to the recipient's continued service on the Issuer's Board of Directors.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:14 UTC GrantStock Option (right to buy) · Derivative 24,000 Not disclosed Strike: $26.59 Not disclosed
Disclosure

SEC source: 0001209191-20-027086 · doc4.xml · derivative · entry 1

HERSHBERG ROBERT · CIK 0001274139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2030-05-01

F2 · price: Not applicable.

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in 36 equal monthly installments beginning on June 1, 2020 such that this option is fully exercisable on May 1, 2023.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:13 UTC GrantStock Option (right to buy) · Derivative 16,000 Not disclosed Strike: $26.59 Not disclosed
Disclosure

SEC source: 0001209191-20-027078 · doc4.xml · derivative · entry 1

EPSTEIN ROBERT S · CIK 0001252004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-05-01

F2 · price: Not applicable.

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 1, 2021 or (ii) the date of the Issuer's 2021 Annual Meeting of Stockholders, subject to the recipient's continued service on the Issuer's Board of Directors.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:11 UTC GrantStock Option (right to buy) · Derivative 16,000 Not disclosed Strike: $26.59 Not disclosed
Disclosure

SEC source: 0001209191-20-027069 · doc4.xml · derivative · entry 1

COUGHLIN TIMOTHY · CIK 0001376043 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-05-01

F2 · price: Not applicable.

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 1, 2021 or (ii) the date of the Issuer's 2021 Annual Meeting of Stockholders, subject to the recipient's continued service on the Issuer's Board of Directors.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:09 UTC GrantStock Option (right to buy) · Derivative 16,000 Not disclosed Strike: $26.59 Not disclosed
Disclosure

SEC source: 0001209191-20-027063 · doc4.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-05-01

F2 · price: Not applicable.

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 1, 2021 or (ii) the date of the Issuer's 2021 Annual Meeting of Stockholders, subject to the recipient's continued service on the Issuer's Board of Directors.

Read SEC document
March 30, 2020 Filed Mar 31, 2020 20:01 UTC Exercise / conversionStock Option (right to buy) · Derivative 28,461 Not disclosed Strike: $1.37 Not disclosed
Disclosure

SEC source: 0001209191-20-021788 · doc4.xml · derivative · entry 2

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,461 shares

Expires 2023-02-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Not applicable.

F1 · derivative.exercise_date: This option is fully vested.

Read SEC document
March 30, 2020 Filed Mar 31, 2020 20:01 UTC Exercise / conversionCommon stock 28,461 $1.37 $38,991.57
Disclosure

SEC source: 0001209191-20-021788 · doc4.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,461

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 30, 2020 Filed Apr 2, 2021 20:24 UTC Amendment GiftCommon Stock 28,461 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-014588 · doc4a.xml · nonDerivative · entry 2

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Rastetter Family Trust, dated 09/02/10

Disclosed balance after: 146,821

F1 · ownership.nature: These shares are owned of record by The Investment 2002 Trust, dated November 11, 2002 for which William H. Rastetter is the sole trustee and owner.

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March 30, 2020 Filed Apr 2, 2021 20:24 UTC Amendment GiftCommon Stock 28,461 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-014588 · doc4a.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
February 03, 2020 Filed Feb 4, 2020 21:01 UTC
Valamehr BahramChief Development Officer
Exercise / conversionStock Option (right to buy) · Derivative 1,153 Not disclosed Strike: $1.69 Not disclosed
Disclosure

SEC source: 0001209191-20-006263 · doc4.xml · derivative · entry 2

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,153 shares

Expires 2020-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Not applicable.

F1 · derivative.exercise_date: This option is fully vested.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 21:01 UTC
Valamehr BahramChief Development Officer
Exercise / conversionCommon Stock 1,153 $1.69 $1,948.57
Disclosure

SEC source: 0001209191-20-006263 · doc4.xml · nonDerivative · entry 1

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,211

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:01 UTC
Wolchko J ScottDirector · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 25,000 Not disclosed Strike: $2.70 Not disclosed
Disclosure

SEC source: 0001209191-20-005968 · doc4.xml · derivative · entry 3

Wolchko J Scott · CIK 0001586893 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,600

Underlying: Common Stock · 25,000 shares

Expires 2026-01-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 19, 2019.

F4 · price: Not applicable.

F3 · derivative.exercise_date: The shares subject to this option vested and became exercisable in 48 equal monthly installments beginning on January 1, 2016 such that this option was fully exercisable on December 1, 2019.

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January 30, 2020 Filed Feb 3, 2020 21:01 UTC
Wolchko J ScottDirector · President and CEO
SaleCommon Stock 25,000 $25.45 $636,302.50
Disclosure

SEC source: 0001209191-20-005968 · doc4.xml · nonDerivative · entry 2

Wolchko J Scott · CIK 0001586893 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 419,969

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 19, 2019.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $25.06 to $25.95 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.

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January 30, 2020 Filed Feb 3, 2020 21:01 UTC
Wolchko J ScottDirector · President and CEO
Exercise / conversionCommon Stock 25,000 $2.70 $67,500.00
Disclosure

SEC source: 0001209191-20-005968 · doc4.xml · nonDerivative · entry 1

Wolchko J Scott · CIK 0001586893 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,969

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 19, 2019.

Read SEC document
January 08, 2020 Filed Jan 10, 2020 21:04 UTC
Wolchko J ScottDirector · President and CEO
GrantStock Option (right to buy) · Derivative 219,000 Not disclosed Strike: $21.99 Not disclosed
Disclosure

SEC source: 0001209191-20-003031 · doc4.xml · derivative · entry 2

Wolchko J Scott · CIK 0001586893 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,000

Underlying: Common Stock · 219,000 shares

Expires 2030-01-08

F3 · price: Not applicable.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 1, 2020 such that this option is fully exercisable on January 1, 2024.

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January 08, 2020 Filed Jan 10, 2020 21:04 UTC
Wolchko J ScottDirector · President and CEO
GrantCommon Stock 66,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-003031 · doc4.xml · nonDerivative · entry 1

Wolchko J Scott · CIK 0001586893 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 419,969

F1 · security: Award of restricted stock units that vests with respect to 1/4 of the underlying shares on each of January 8, 2021, January 8, 2022, January 8, 2023, and January 8, 2024. This grant is subject to an accelerated vesting upon a change of control of the Issuer and in the event of termination of employment under certain circumstances following a change of control of the Issuer.

Read SEC document
January 08, 2020 Filed Jan 10, 2020 21:03 UTC
Valamehr BahramChief Development Officer
GrantStock Option (right to buy) · Derivative 90,000 Not disclosed Strike: $21.99 Not disclosed
Disclosure

SEC source: 0001209191-20-003027 · doc4.xml · derivative · entry 3

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2030-01-08

F5 · price: Not applicable.

F4 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 1, 2020 such that this option is fully exercisable on January 1, 2024.

Read SEC document
January 08, 2020 Filed Jan 10, 2020 21:03 UTC
Valamehr BahramChief Development Officer
SaleCommon Stock 5,700 $20.69 $117,947.25
Disclosure

SEC source: 0001209191-20-003027 · doc4.xml · nonDerivative · entry 2

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,058

F2 · shares: Required number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of 15,000 shares of Common Stock underlying RSUs granted to the reporting person on January 7, 2019. This sale was made pursuant to an irrevocable election on November 21, 2019 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.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.41 to $20.88 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.

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January 08, 2020 Filed Jan 10, 2020 21:03 UTC
Valamehr BahramChief Development Officer
GrantCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-003027 · doc4.xml · nonDerivative · entry 1

Valamehr Bahram · CIK 0001748177 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,758

F1 · security: Award of restricted stock units ("RSUs") that vests with respect to 1/4 of the underlying shares on each of January 8, 2021, January 8, 2022, January 8, 2023, and January 8, 2024. This grant is subject to an accelerated vesting upon a change of control of the Issuer and in the event of termination of employment under certain circumstances following a change of control of the Issuer.

Read SEC document
January 08, 2020 Filed Jan 10, 2020 21:02 UTC
TAHL CINDYGeneral Counsel and Secretary
GrantStock Option (right to buy) · Derivative 90,000 Not disclosed Strike: $21.99 Not disclosed
Disclosure

SEC source: 0001209191-20-003026 · doc4.xml · derivative · entry 3

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2030-01-08

F5 · price: Not applicable.

F4 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 1, 2020 such that this option is fully exercisable on January 1, 2024.

Read SEC document
January 08, 2020 Filed Jan 10, 2020 21:02 UTC
TAHL CINDYGeneral Counsel and Secretary
SaleCommon Stock 5,700 $20.72 $118,085.19
Disclosure

SEC source: 0001209191-20-003026 · doc4.xml · nonDerivative · entry 2

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,518

F2 · shares: Required number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of 15,000 shares of Common Stock underlying RSUs granted to the reporting person on January 7, 2019. This sale was made pursuant to an irrevocable election on November 18, 2019 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.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.4950 to $20.88 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.

Read SEC document
January 08, 2020 Filed Jan 10, 2020 21:02 UTC
TAHL CINDYGeneral Counsel and Secretary
GrantCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-003026 · doc4.xml · nonDerivative · entry 1

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,218

F1 · security: Award of restricted stock units ("RSUs") that vests with respect to 1/4 of the underlying shares on each of January 8, 2021, January 8, 2022, January 8, 2023, and January 8, 2024. This grant is subject to an accelerated vesting upon a change of control of the Issuer and in the event of termination of employment under certain circumstances following a change of control of the Issuer.

Read SEC document
January 08, 2020 Filed Jan 10, 2020 21:01 UTC
Shoemaker Daniel DChief Scientific Officer
GrantStock Option (right to buy) · Derivative 90,000 Not disclosed Strike: $21.99 Not disclosed
Disclosure

SEC source: 0001209191-20-003025 · doc4.xml · derivative · entry 3

Shoemaker Daniel D · CIK 0001586892 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2030-01-08

F5 · price: Not applicable.

F4 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 1, 2020 such that this option is fully exercisable on January 1, 2024.

Read SEC document
January 08, 2020 Filed Jan 10, 2020 21:01 UTC
Shoemaker Daniel DChief Scientific Officer
SaleCommon Stock 5,700 $20.70 $117,986.01
Disclosure

SEC source: 0001209191-20-003025 · doc4.xml · nonDerivative · entry 2

Shoemaker Daniel D · CIK 0001586892 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,091

F2 · shares: Required number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of 15,000 shares of Common Stock underlying RSUs granted to the reporting person on January 7, 2019. This sale was made pursuant to an irrevocable election on November 20, 2019 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.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.38 to $20.8850 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.

Read SEC document
January 08, 2020 Filed Jan 10, 2020 21:01 UTC
Shoemaker Daniel DChief Scientific Officer
GrantCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-003025 · doc4.xml · nonDerivative · entry 1

Shoemaker Daniel D · CIK 0001586892 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,791

F1 · security: Award of restricted stock units ("RSUs") that vests with respect to 1/4 of the underlying shares on each of January 8, 2021, January 8, 2022, January 8, 2023, and January 8, 2024. This grant is subject to an accelerated vesting upon a change of control of the Issuer and in the event of termination of employment under certain circumstances following a change of control of the Issuer.

Read SEC document
December 30, 2019 Filed Jan 2, 2020 21:01 UTC
Shoemaker Daniel DChief Scientific Officer
Exercise / conversionStock Option (right to buy) · Derivative 25,000 Not disclosed Strike: $2.90 Not disclosed
Disclosure

SEC source: 0001209191-20-000242 · doc4.xml · derivative · entry 4

Shoemaker Daniel D · CIK 0001586892 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,800

Underlying: Common Stock · 25,000 shares

Expires 2026-01-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 20, 2018 and modified on December 10, 2018.

F4 · price: Not applicable.

F3 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in 48 equal monthly installments beginning on February 8, 2016 such that this option is fully exercisable on January 8, 2020.

Read SEC document
December 30, 2019 Filed Jan 2, 2020 21:01 UTC
Shoemaker Daniel DChief Scientific Officer
SaleCommon Stock 100 $20.34 $2,034.00
Disclosure

SEC source: 0001209191-20-000242 · doc4.xml · nonDerivative · entry 3

Shoemaker Daniel D · CIK 0001586892 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,791

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 20, 2018 and modified on December 10, 2018.

Read SEC document
December 30, 2019 Filed Jan 2, 2020 21:01 UTC
Shoemaker Daniel DChief Scientific Officer
SaleCommon Stock 24,900 $19.49 $485,393.13
Disclosure

SEC source: 0001209191-20-000242 · doc4.xml · nonDerivative · entry 2

Shoemaker Daniel D · CIK 0001586892 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,891

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 20, 2018 and modified on December 10, 2018.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $19.21 to $20.08 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.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.