FATE THERAPEUTICS INC
For the period ended Dec 31, 2023. Filed Feb 26, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Feb 26, 2024
FATE$1.94+5.7%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 16. Form 10-K Summary
None.
EXHIBIT INDEX
| Incorporated byReference | |||||
|---|---|---|---|---|---|
| ExhibitNumber | Exhibit Title | Form | File No. | Exhibit | Filing Date |
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant | S-1/A | 333-190608 | 3.2 | August 29, 2013 |
| 3.2 | Certificate of Amendment to Amended and Restated Certificate of Incorporation of the Registrant, as currently in effect | 8-K | 001-36076 | 3.1 | June 7, 2021 |
| 3.3 | Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock | 8-K | 001-36076 | 3.1 | November 29, 2016 |
| 3.4 | Amended and Restated Bylaws of the Registrant, as currently in effect | 10-K | 001-36076 | 3.3 | February 24, 2021 |
| 3.5 | Certificate of Amendment to Certificate of Designation of Preferences, Rights and Limitation of Class A Convertible Preferred Stock of the Registrant | 8-K | 001-36076 | 3.1 | April 19, 2023 |
| 4.1 | Specimen Common Stock Certificate | S-1/A | 333-190608 | 4.1 | August 29, 2013 |
| 4.2 | Description of Securities | 10-Q | 001-36076 | 4.3 | November 8, 2023 |
| 4.3 | Form of Pre-Funded Warrant | 8-K | 001-36076 | 4.1 | January 8, 2021 |
| 10.1# | 2007 Equity Incentive Plan and forms of agreements thereunder | S-1/A | 333-190608 | 10.1 | August 29, 2013 |
| 10.2# | Amended and Restated 2013 Stock Option and Incentive Plan and forms of agreements thereunder | 10-K | 001-36076 | 10.2 | February 24, 2021 |
| 10.3# | Form of Unrestricted Stock Award Agreement under the 2013 Stock Option and Incentive Plan | 8-K | 001-36076 | 10.2 | January 7, 2015 |
| 10.4# | Amended and Restated Employment Agreement by and between the Registrant and Scott Wolchko, dated January 14, 2018 | 10-K | 001-36076 | 10.5 | March 5, 2018 |
| 10.5# | Amended and Restated Senior Executive Incentive Bonus Plan | 8-K | 001-36076 | 10.1 | January 7, 2015 |
| 10.6# | Amended and Restated Non-Employee Director Compensation Policy | 10-Q | 001-36076 | 10.1 | August 8, 2023 |
| 10.7# | Fate Therapeutics, Inc. Amended and Restated Inducement Equity Plan | 10-K | 001-36076 | 10.8 | February 24, 2021 |
| 10.8# | Forms of Stock Option Agreement under the Registrant's Inducement Equity Plan | 10-K | 001-36076 | 10.9 | February 24, 2021 |
| 10.9# | Forms of Restricted Stock Unit Award Agreement under the Registrant's Inducement Equity Plan | 10-K | 001-36076 | 10.10 | February 24, 2021 |
| 10.10 | Lease Agreement by and between the Registrant and ARE-3535/3565 General Atomics Court, LLC, dated December 3, 2009 | S-1 | 333-190608 | 10.14 | August 13, 2013 |
| 10.11 | First Amendment to Lease Agreement by and between the Registrant and ARE-3535/3565 General Atomics Court, LLC, dated October 1, 2011 | S-1 | 333-190608 | 10.15 | August 13, 2013 |
| 10.12 | Second Amendment to Lease Agreement by and between the Registrant and ARE-3535/3565 General Atomics Court, dated September 26, 2013 | S-1/A | 333-190608 | 10.25 | September 30, 2013 |
| 10.13 | Third Amendment to Lease Agreement by and between the Registrant and ARE-3535/3565 General Atomics Court, dated September 2, 2014 | 10-K | 001-36076 | 10.15 | March 3, 2016 |
| 10.14 | Fourth Amendment to Lease Agreement by and between the Registrant and ARE-3535/3565 General Atomics Court, dated March 2, 2015 | 10-K | 001-36076 | 10.16 | March 3, 2016 |
| 10.15 | Fifth Amendment to Lease Agreement by and between the Registrant and ARE-3535/3565 General Atomics Court, dated June 1, 2016 | 10-Q | 001-36076 | 10.2 | August 8, 2016 |
| 10.16 | Form of Indemnification Agreement | S-1/A | 333-190608 | 10.20 | August 29, 2013 |
| 10.17† | Whitehead Institute for Biomedical Research Exclusive Patent License Agreement between the Registrant and the Whitehead Institute for Biomedical Research, dated as of February 24, 2009 | 10-K | 001-36076 | 10.19 | February 24, 2021 |
| 10.18† | License Agreement between the Registrant and The Scripps Research Institute, dated as of July 13, 2009 | 10-K | 001-36076 | 10.20 | February 24, 2021 |
| 10.19† | License Agreement between the Registrant and The Scripps Research Institute, dated as of May 25, 2010 | 10-K | 001-36076 | 10.21 | February 24, 2021 |
| 10.20† | License Agreement between the Registrant and The Scripps Research Institute, dated as of August 24, 2010 | 10-K | 001-36076 | 10.22 | February 24, 2021 |
| 10.21 | Securities Purchase Agreement, dated August 6, 2016, by and among the Registrant and the Purchasers | 8-K | 001-36076 | 10.1 | August 8, 2016 |
| 10.22 | Registration Rights Agreement, dated August 6, 2016, by and among the Registrant and the Purchasers | 8-K | 001-36076 | 10.2 | August 8, 2016 |
| 10.23 | Securities Purchase Agreement, dated November 21, 2016, by and among the Registrant and the Purchasers | 8-K | 001-36076 | 10.1 | November 22, 2016 |
| 10.24 | Registration Rights Agreement, dated November 21, 2016, by and among the Registrant and the Purchasers | 8-K | 001-36076 | 10.2 | November 22, 2016 |
| 10.25# | Severance and Change in Control Policy | 10-K | 001-36076 | 10.32 | March 5, 2018 |
| 10.26# | Offer Letter by and between the Registrant and Cindy R. Tahl, dated October 23, 2009 | 10-K | 001-36076 | 10.33 | March 5, 2019 |
| 10.27 | Sixth Amendment to the Lease Agreement by and between the Registrant and ARE-3535/3565 General Atomics Court, dated May 31, 2018 | 10-Q | 001-36076 | 10.1 | August 6, 2018 |
| 10.28 | Amended and Restated Exclusive License Agreement by and between the Registrant and Memorial Sloan Kettering Cancer Center, dated May 15, 2018 | 10-Q | 001-36076 | 10.2 | August 6, 2018 |
| 10.29† | Exclusive License Agreement by and between the Registrant and The David Gladstone Institutes, dated September 11, 2018 | 10-Q | 001-36076 | 10.1 | November 1, 2018 |
| 10.30† | Collaboration and Option Agreement by and between the Registrant and Ono Pharmaceutical Co., Ltd., dated September 14, 2018 | 10-Q/A | 001-36076 | 10.2 | February 8, 2019 |
| 10.31# | Offer Letter by and between the Registrant and Bahram Valamehr, dated November 23, 2009 | 10-K | 001-36076 | 10.38 | March 5, 2019 |
| 10.32† | Lease Agreement by and between the Registrant and Scripps Summit Investments LLC, dated January 7, 2020 | 10-K | 001-36076 | 10.34 | March 2, 2020 |
| 10.33# | Offer Letter by and between the Registrant and Edward Dulac III, dated May 20, 2020 | 8-K | 001-36076 | 10.1 | August 19, 2020 |
| 10.34† | Letter Agreement, dated December 4, 2020, by and between the Registrant and Ono Pharmaceutical Co., Ltd. | 10-K | 001-36076 | 10.39 | February 24, 2021 |
| 10.35† | Patent License Agreement by and between the Registrant and Max-Delbrück-Centrum für Molekulare Medizin in der Helmholtz-Gemeinschaft, dated August 30, 2019 | 10-K | 001-36076 | 10.40 | February 24, 2021 |
| 10.36 | Open Market Sale AgreementSM, dated November 8, 2023, by and between the Registrant and Jefferies LLC | S-3 | 333-275402 | 1.2 | November 8, 2023 |
| 10.37† | License Agreement, dated April 9, 2020, by and between the Registrant and Dana-Farber Cancer Institute, Inc. | 10-K | 001-36076 | 10.40 | February 28, 2022 |
| 10.38# | 2022 Stock Option and Incentive Plan and form agreements thereunder | S-8 | 333-26552 | 99.1 | June 9, 2022 |
| 10.39† | Amendment 01 to Collaboration and Option Agreement, dated June 28, 2022, by and between the Registrant and Ono Pharmaceutical Co. Ltd. | 10-Q | 001-36076 | 10.2 | August 3, 2022 |
| 10.40 | Letter Agreement, dated November 7, 2022, by and between the Registrant and Ono Pharmaceutical Co., Ltd. | 8-K | 001-36076 | 10.1 | November 7, 2022 |
| 10.41 | Amendment 03 to Collaboration and Option Agreement, dated November 30, 2023, by and between the Registrant and Ono Pharmaceutical Co. Ltd. | — | — | — | Filed herewith |
| 10.42† | Exclusive License Agreement, dated April 17, 2020, by an between the Registrant and Baylor College of Medicine | — | — | — | Filed herewith |
| 14.1 | Amended Code of Business Conduct and Ethics | — | — | — | Filed herewith |
| 21.1 | Subsidiaries of the Registrant | 10-K | 001-36076 | 21.1 | February 28, 2023 |
| 23.1 | Consent of Independent Registered Public Accounting Firm | — | — | — | Filed herewith |
| 31.1 | Certification of Principal Executive Officer pursuant to Rules 13a-14 and 15-d-14 promulgated pursuant to the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | — | — | — | Filed herewith |
| 31.2 | Certification of Principal Financial Officer pursuant to Rules 13a-14 and 15-d-14 promulgated pursuant to the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | — | — | — | Filed herewith |
| 32.1 | Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | — | — | — | Filed herewith |
| 32.2 | Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | — | — | — | Filed herewith |
| 97.1 | Compensation Recovery Policy | — | — | — | Filed herewith |
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. | — | — | — | Filed herewith |
| 101.SCH | Inline XBRL Taxonomy Extension Schema with Embedded Linkbases Document | — | — | — | Filed herewith |
| 104 | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101). | — | — | — | Filed herewith |
† Certain provisions of this Exhibit have been omitted as confidential information.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.