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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
June 01, 2022 Filed Jun 2, 2022 20:04 UTC
TAHL CINDYGeneral Counsel and Secretary
Exercise / conversionCommon Stock 25,000 $6.55 $163,750.00
Disclosure

SEC source: 0001209191-22-033481 · doc4.xml · nonDerivative · entry 1

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,151

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 January 8, 2021.

Read SEC document
April 22, 2022 Filed Apr 25, 2022 20:11 UTC
Wolchko J ScottDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $2.70 Strike: $2.70 $27,000.00
Disclosure

SEC source: 0001209191-22-025515 · doc4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,246

Underlying: Common Stock · 10,000 shares

Expires 2027-01-03

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.

F8 · derivative.exercise_date: This option is fully vested.

Read SEC document
April 22, 2022 Filed Apr 25, 2022 20:11 UTC
Wolchko J ScottDirector · President and CEO
SaleCommon Stock 838 $35.15 $29,455.70
Disclosure

SEC source: 0001209191-22-025515 · doc4.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 431,546

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

F7 · price: Represents the weighted average sale price of the shares sold from $35.04 to $35.29 per share.

Read SEC document
April 22, 2022 Filed Apr 25, 2022 20:11 UTC
Wolchko J ScottDirector · President and CEO
SaleCommon Stock 9,162 $34.54 $316,455.48
Disclosure

SEC source: 0001209191-22-025515 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 432,384

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

F6 · price: Represents the weighted average sale price of the shares sold from $34.04 to $35.03 per share.

Read SEC document
April 22, 2022 Filed Apr 25, 2022 20:11 UTC
Wolchko J ScottDirector · President and CEO
Exercise / conversionCommon Stock 10,000 $2.70 $27,000.00
Disclosure

SEC source: 0001209191-22-025515 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 441,546

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
April 21, 2022 Filed Apr 25, 2022 20:11 UTC
Wolchko J ScottDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 30,000 $2.70 Strike: $2.70 $81,000.00
Disclosure

SEC source: 0001209191-22-025515 · doc4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,246

Underlying: Common Stock · 30,000 shares

Expires 2027-01-03

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.

F8 · derivative.exercise_date: This option is fully vested.

Read SEC document
April 21, 2022 Filed Apr 25, 2022 20:11 UTC
Wolchko J ScottDirector · President and CEO
SaleCommon Stock 1,003 $37.90 $38,013.70
Disclosure

SEC source: 0001209191-22-025515 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 431,546

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

F5 · price: Represents the weighted average sale price of the shares sold from $37.70 to $38.38 per share.

Read SEC document
April 21, 2022 Filed Apr 25, 2022 20:11 UTC
Wolchko J ScottDirector · President and CEO
SaleCommon Stock 2,220 $36.70 $81,474.00
Disclosure

SEC source: 0001209191-22-025515 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 432,549

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

F4 · price: Represents the weighted average sale price of the shares sold from $36.29 to $37.08 per share.

Read SEC document
April 21, 2022 Filed Apr 25, 2022 20:11 UTC
Wolchko J ScottDirector · President and CEO
SaleCommon Stock 4,062 $35.73 $145,135.26
Disclosure

SEC source: 0001209191-22-025515 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 434,769

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 from $35.29 to $36.25 per share.

Read SEC document
April 21, 2022 Filed Apr 25, 2022 20:11 UTC
Wolchko J ScottDirector · President and CEO
SaleCommon Stock 22,715 $34.57 $785,257.55
Disclosure

SEC source: 0001209191-22-025515 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 438,831

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 from $34.22 to $35.14 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 separate price within the ranges set forth in footnotes 2 through 7.

Read SEC document
April 21, 2022 Filed Apr 25, 2022 20:11 UTC
Wolchko J ScottDirector · President and CEO
Exercise / conversionCommon Stock 30,000 $2.70 $81,000.00
Disclosure

SEC source: 0001209191-22-025515 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,546

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
April 19, 2022 Filed Apr 21, 2022 16:04 UTC
Chu Yu-WayeChief Medical Officer
SaleCommon Stock 4,062 $35.37 $143,672.94
Disclosure

SEC source: 0001209191-22-025159 · doc4.xml · nonDerivative · entry 1

Chu Yu-Waye · CIK 0001854586 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,033

F1 · kind: Required number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of 7,500 shares of Common Stock underlying RSUs granted to the reporting person on April 15, 2019. This sale was made pursuant to an irrevocable election 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 · price: Represents the weighted average sale price of the shares sold from $35.10 to $35.50 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer or a security holder of he Issuer, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 2.

Read SEC document
April 01, 2022 Filed Apr 4, 2022 21:01 UTC
TAHL CINDYGeneral Counsel and Secretary
Exercise / conversionStock Option (Right to Buy) · Derivative 5,567 $0.00 Strike: $6.55 $0.00
Disclosure

SEC source: 0001209191-22-022495 · doc4.xml · derivative · entry 5

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,210

Underlying: Common Stock · 5,567 shares

Expires 2028-01-16

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 January 8, 2021.

F2 · derivative.exercise_date: This option is fully vested.

Read SEC document
April 01, 2022 Filed Apr 4, 2022 21:01 UTC
TAHL CINDYGeneral Counsel and Secretary
Exercise / conversionStock Option (Right to Buy) · Derivative 19,433 $0.00 Strike: $4.84 $0.00
Disclosure

SEC source: 0001209191-22-022495 · doc4.xml · derivative · entry 4

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,195

Underlying: Common Stock · 19,433 shares

Expires 2025-01-05

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.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on January 8, 2021.

F2 · derivative.exercise_date: This option is fully vested.

Read SEC document
April 01, 2022 Filed Apr 4, 2022 21:01 UTC
TAHL CINDYGeneral Counsel and Secretary
SaleCommon Stock 25,000 $38.85 $971,250.00
Disclosure

SEC source: 0001209191-22-022495 · doc4.xml · nonDerivative · entry 3

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,151

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on January 8, 2021.

Read SEC document
April 01, 2022 Filed Apr 4, 2022 21:01 UTC
TAHL CINDYGeneral Counsel and Secretary
Exercise / conversionCommon Stock 5,567 $6.55 $36,463.85
Disclosure

SEC source: 0001209191-22-022495 · doc4.xml · nonDerivative · entry 2

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,151

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 January 8, 2021.

Read SEC document
April 01, 2022 Filed Apr 4, 2022 21:01 UTC
TAHL CINDYGeneral Counsel and Secretary
Exercise / conversionCommon Stock 19,433 $4.84 $94,055.72
Disclosure

SEC source: 0001209191-22-022495 · doc4.xml · nonDerivative · entry 1

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,584

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 January 8, 2021.

Read SEC document
March 14, 2022 Filed Mar 15, 2022 20:27 UTC
Valamehr BahramChief R&D Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $2.73 $0.00
Disclosure

SEC source: 0001209191-22-018820 · doc4.xml · derivative · entry 7

Valamehr Bahram · CIK 0001748177 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,156

Underlying: Common Stock · 25,000 shares

Expires 2027-01-04

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.

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

Read SEC document
March 14, 2022 Filed Mar 15, 2022 20:27 UTC
Valamehr BahramChief R&D Officer
SaleCommon Stock 100 $34.04 $3,404.00
Disclosure

SEC source: 0001209191-22-018820 · doc4.xml · nonDerivative · entry 6

Valamehr Bahram · CIK 0001748177 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,834

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
March 14, 2022 Filed Mar 15, 2022 20:27 UTC
Valamehr BahramChief R&D Officer
SaleCommon Stock 2,960 $33.30 $98,568.00
Disclosure

SEC source: 0001209191-22-018820 · doc4.xml · nonDerivative · entry 5

Valamehr Bahram · CIK 0001748177 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,934

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 from $33.00 to $33.91 per share.

Read SEC document
March 14, 2022 Filed Mar 15, 2022 20:27 UTC
Valamehr BahramChief R&D Officer
SaleCommon Stock 2,195 $32.49 $71,315.55
Disclosure

SEC source: 0001209191-22-018820 · doc4.xml · nonDerivative · entry 4

Valamehr Bahram · CIK 0001748177 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,894

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 from $32.00 to $32.99 per share.

Read SEC document
March 14, 2022 Filed Mar 15, 2022 20:27 UTC
Valamehr BahramChief R&D Officer
SaleCommon Stock 3,067 $31.66 $97,101.22
Disclosure

SEC source: 0001209191-22-018820 · doc4.xml · nonDerivative · entry 3

Valamehr Bahram · CIK 0001748177 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,089

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 from $31.00 to $31.99 per share.

Read SEC document
March 14, 2022 Filed Mar 15, 2022 20:27 UTC
Valamehr BahramChief R&D Officer
SaleCommon Stock 16,678 $30.36 $506,344.08
Disclosure

SEC source: 0001209191-22-018820 · doc4.xml · nonDerivative · entry 2

Valamehr Bahram · CIK 0001748177 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,156

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 from $30.00 to $30.98 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer or a security holder of he Issuer, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 2 through 5.

Read SEC document
March 14, 2022 Filed Mar 15, 2022 20:27 UTC
Valamehr BahramChief R&D Officer
Exercise / conversionCommon Stock 25,000 $2.73 $68,250.00
Disclosure

SEC source: 0001209191-22-018820 · doc4.xml · nonDerivative · entry 1

Valamehr Bahram · CIK 0001748177 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,834

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
March 10, 2022 Filed Mar 11, 2022 21:58 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 31,562 $0.00 Strike: $1.63 $0.00
Disclosure

SEC source: 0001209191-22-018188 · doc4.xml · derivative · entry 4

MENDLEIN JOHN · CIK 0001238362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,562 shares

Expires 2022-03-12

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, 2021.

F4 · derivative.exercise_date: This option is fully vested.

Read SEC document
March 10, 2022 Filed Mar 11, 2022 21:58 UTC SaleCommon Stock 12,069 $35.48 $428,208.12
Disclosure

SEC source: 0001209191-22-018188 · doc4.xml · nonDerivative · entry 3

MENDLEIN JOHN · CIK 0001238362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,455

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 10, 2021.

F3 · price: Represents the weighted average sale price of the shares sold from $35.13 to $35.75 per share.

Read SEC document
March 10, 2022 Filed Mar 11, 2022 21:58 UTC SaleCommon Stock 19,493 $34.73 $676,991.89
Disclosure

SEC source: 0001209191-22-018188 · doc4.xml · nonDerivative · entry 2

MENDLEIN JOHN · CIK 0001238362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,524

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 10, 2021.

F2 · price: Represents the weighted average sale price of the shares sold from $34.12 to $35.11 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer or a security holder of he Issuer, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 2 through 3.

Read SEC document
March 10, 2022 Filed Mar 11, 2022 21:58 UTC Exercise / conversionCommon Stock 31,562 $1.63 $51,446.06
Disclosure

SEC source: 0001209191-22-018188 · doc4.xml · nonDerivative · entry 1

MENDLEIN JOHN · CIK 0001238362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,017

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, 2021.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 16:37 UTC
Chu Yu-WayeChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 53,058 $0.00 Strike: $39.87 $0.00
Disclosure

SEC source: 0000899243-22-003448 · doc4.xml · derivative · entry 2

Chu Yu-Waye · CIK 0001854586 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,058

Underlying: Common Stock · 53,058 shares

Expires 2032-01-24

F2 · derivative.exercise_date: The shares subject to this option vest in 48 equal month installments beginning on February 1, 2022 such that this option will be fully exercisable on January 1, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 16:37 UTC
Chu Yu-WayeChief Medical Officer
GrantCommon Stock 33,302 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-003448 · doc4.xml · nonDerivative · entry 1

Chu Yu-Waye · CIK 0001854586 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,095

F1 · security: Award of restricted stock units that vest with respect to 1/4th of the underlying shares on each of January 8, 2023, January 8, 2024, January 8, 2025 and January 8, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 21:38 UTC
Valamehr BahramSee Remarks
GrantStock Option (Right to Buy) · Derivative 53,058 $0.00 Strike: $39.87 $0.00
Disclosure

SEC source: 0000899243-22-003449 · doc4.xml · derivative · entry 2

Valamehr Bahram · CIK 0001748177 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,058

Underlying: Common Stock · 53,058 shares

Expires 2032-01-24

F2 · derivative.exercise_date: The shares subject to this option vest in 48 equal month installments beginning on February 1, 2022 such that this option will be fully exercisable on January 1, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 21:38 UTC
Valamehr BahramSee Remarks
GrantCommon Stock 33,302 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-003449 · doc4.xml · nonDerivative · entry 1

Valamehr Bahram · CIK 0001748177 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,834

F1 · security: Award of restricted stock units that vest with respect to 1/4th of the underlying shares on each of January 8, 2023, January 8, 2024, January 8, 2025 and January 8, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 21:35 UTC
Dulac Edward J IIIChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 53,058 $0.00 Strike: $39.87 $0.00
Disclosure

SEC source: 0000899243-22-003443 · doc4.xml · derivative · entry 2

Dulac Edward J III · CIK 0001821530 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,058

Underlying: Common Stock · 53,058 shares

Expires 2032-01-24

F2 · derivative.exercise_date: The shares subject to this option vest in 48 equal month installments beginning on February 1, 2022 such that this option will be fully exercisable on January 1, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 21:35 UTC
Dulac Edward J IIIChief Financial Officer
GrantCommon Stock 33,302 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-003443 · doc4.xml · nonDerivative · entry 1

Dulac Edward J III · CIK 0001821530 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,936

F1 · security: Award of restricted stock units that vest with respect to 1/4th of the underlying shares on each of January 8, 2023, January 8, 2024, January 8, 2025 and January 8, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 21:37 UTC
Plavsic MarkChief Technical Officer
GrantStock Option (Right to Buy) · Derivative 53,058 $0.00 Strike: $39.87 $0.00
Disclosure

SEC source: 0000899243-22-003447 · doc4.xml · derivative · entry 2

Plavsic Mark · CIK 0001868719 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,058

Underlying: Common Stock · 53,058 shares

Expires 2032-01-24

F2 · derivative.exercise_date: The shares subject to this option vest in 48 equal month installments beginning on February 1, 2022 such that this option will be fully exercisable on January 1, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 21:37 UTC
Plavsic MarkChief Technical Officer
GrantCommon Stock 33,302 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-003447 · doc4.xml · nonDerivative · entry 1

Plavsic Mark · CIK 0001868719 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,842

F1 · security: Award of restricted stock units that vest with respect to 1/4th of the underlying shares on each of January 8, 2023, January 8, 2024, January 8, 2025 and January 8, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

Read SEC document
January 25, 2022 Filed Jan 27, 2022 21:09 UTC
Wolchko J ScottDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 289,403 $0.00 Strike: $39.87 $0.00
Disclosure

SEC source: 0000899243-22-003426 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,403

Underlying: Common Stock · 289,403 shares

Expires 2032-01-24

F1 · derivative.exercise_date: The shares subject to this option vest in 48 equal month installments beginning on February 1, 2022 such that this option will be fully exercisable on January 1, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

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January 25, 2022 Filed Jan 27, 2022 21:06 UTC
TAHL CINDYSee Remarks
GrantStock Option (Right to Buy) · Derivative 53,058 $0.00 Strike: $39.87 $0.00
Disclosure

SEC source: 0000899243-22-003424 · doc4.xml · derivative · entry 2

TAHL CINDY · CIK 0001655472 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,058

Underlying: Common Stock · 53,058 shares

Expires 2032-01-24

F2 · derivative.exercise_date: The shares subject to this option vest in 48 equal month installments beginning on February 1, 2022 such that this option will be fully exercisable on January 1, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

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January 25, 2022 Filed Jan 27, 2022 21:06 UTC
TAHL CINDYSee Remarks
GrantCommon Stock 33,302 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-003424 · doc4.xml · nonDerivative · entry 1

TAHL CINDY · CIK 0001655472 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,151

F1 · security: Award of restricted stock units that vest with respect to 1/4th of the underlying shares on each of January 8, 2023, January 8, 2024, January 8, 2025 and January 8, 2026, subject to the Reporting Person's continued service with the Issuer as of each such date.

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January 21, 2022 Filed Jan 24, 2022 21:36 UTC
Wolchko J ScottDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $2.70 Strike: $2.70 $27,000.00
Disclosure

SEC source: 0001209191-22-004606 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,446

Underlying: Common Stock · 10,000 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 June 10, 2020.

F2 · derivative.exercise_date: This option is fully vested.

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January 21, 2022 Filed Jan 24, 2022 21:36 UTC
Wolchko J ScottDirector · President and CEO
SaleCommon Stock 10,000 $38.02 $380,200.00
Disclosure

SEC source: 0001209191-22-004606 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 431,546

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
January 21, 2022 Filed Jan 24, 2022 21:36 UTC
Wolchko J ScottDirector · President and CEO
Exercise / conversionCommon Stock 10,000 $2.70 $27,000.00
Disclosure

SEC source: 0001209191-22-004606 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 441,546

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.

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January 21, 2022 Filed Feb 4, 2022 22:59 UTC Amendment
Wolchko J ScottDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.70 $0.00
Disclosure

SEC source: 0000899243-22-004871 · doc4a.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,246

Underlying: Common Stock · 10,000 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 June 10, 2020.

F3 · derivative.exercise_date: This stock option is fully vested.

F4 · balance_after: Corrected ending balance of this option which includes 36,800 shares that are vested and outstanding pursuant to a second option grant issued on January 12, 2016.

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January 20, 2022 Filed Jan 24, 2022 21:36 UTC
Wolchko J ScottDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 30,000 $2.73 Strike: $2.73 $81,900.00
Disclosure

SEC source: 0001209191-22-004606 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 30,000 shares

Expires 2027-01-03

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.

F2 · derivative.exercise_date: This option is fully vested.

Read SEC document
January 20, 2022 Filed Jan 24, 2022 21:36 UTC
Wolchko J ScottDirector · President and CEO
SaleCommon Stock 30,000 $40.21 $1,206,300.00
Disclosure

SEC source: 0001209191-22-004606 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 431,546

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
January 20, 2022 Filed Jan 24, 2022 21:36 UTC
Wolchko J ScottDirector · President and CEO
Exercise / conversionCommon Stock 30,000 $2.73 $81,900.00
Disclosure

SEC source: 0001209191-22-004606 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,546

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
January 20, 2022 Filed Feb 4, 2022 22:59 UTC Amendment
Wolchko J ScottDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $2.70 $0.00
Disclosure

SEC source: 0000899243-22-004871 · doc4a.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,246

Underlying: Common Stock · 30,000 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.

F2 · derivative.exercise_price: Corrected option price.

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

F3 · derivative.exercise_date: This stock option is fully vested.

F4 · balance_after: Corrected ending balance of this option which includes 36,800 shares that are vested and outstanding pursuant to a second option grant issued on January 12, 2016.

Read SEC document
January 20, 2022 Filed Feb 4, 2022 22:59 UTC Amendment
Wolchko J ScottDirector · President and CEO
Exercise / conversionCommon Stock 30,000 $2.70 $81,000.00
Disclosure

SEC source: 0000899243-22-004871 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,546

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.

F2 · price: Corrected option price.

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January 11, 2022 Filed Jan 13, 2022 16:05 UTC
Chu Yu-WayeSenior VP Clinical Development
SaleCommon Stock 418 $49.10 $20,523.80
Disclosure

SEC source: 0001209191-22-003166 · doc4.xml · nonDerivative · entry 2

Chu Yu-Waye · CIK 0001854586 · Senior VP Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,793

F1 · kind: Required number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of 6,250 shares of Common Stock underlying RSUs granted to the reporting person on January 8, 2020 and 4,503 shares of Common Stock underlying RSUs granted to the reporting person on January 20, 2021. These sales were made pursuant to an irrevocable election by the reporting person to satisfy tax withholding obligations through "sell to cover" transactions and do not represent discretionary trades by the reporting person.

F3 · price: Represents the weighted average sale price of the shares sold ranging from $48.71 to $49.25 per share.

Read SEC document
January 11, 2022 Filed Jan 13, 2022 16:05 UTC
Chu Yu-WayeSenior VP Clinical Development
SaleCommon Stock 3,547 $48.44 $171,816.68
Disclosure

SEC source: 0001209191-22-003166 · doc4.xml · nonDerivative · entry 1

Chu Yu-Waye · CIK 0001854586 · Senior VP Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,211

F1 · kind: Required number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of 6,250 shares of Common Stock underlying RSUs granted to the reporting person on January 8, 2020 and 4,503 shares of Common Stock underlying RSUs granted to the reporting person on January 20, 2021. These sales were made pursuant to an irrevocable election by the reporting person to satisfy tax withholding obligations through "sell to cover" transactions and do not represent discretionary trades by the reporting person.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $47.68 to $48.67 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 within the ranges set forth in footnotes 2 through 3.

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