13G Filing: Great Point Partners and Newlink Genetics Corp (NLNK)

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Page 5 of 10 – SEC Filing

CUSIP
No.  651511107
13G Page
5 of 9 Pages
Item 1.
(a)

Name of Issuer

Newlink Genetics Corporation

(b)

Address of Issuer’s
Principal Executive Offices

2503 South Loop Drive, Ames, Iowa 50010

Item 2.
(a)

Name of Person Filing

Great Point Partners, LLC
Dr. Jeffrey R. Jay, M.D.

Mr. David Kroin

The Reporting Persons have entered into a Joint Filing Agreement,
dated June 5, 2017, a copy of which is filed with this Schedule 13G as Exhibit A, pursuant to which the Reporting Persons have
agreed to file this statement jointly in accordance with the provisions of Rule 13d-1(k)(1) under the Act.

(b)

Address of Principal Business Office, or if none, Residence

The address of the principal business
office of each of the Reporting Persons is

165 Mason Street, 3rd Floor
Greenwich, CT 06830

(c)

Citizenship

Great Point Partners, LLC is a limited liability company organized
under the laws of the State of Delaware. Dr. Jeffrey R. Jay, M.D. is a citizen of the United States. Mr. David Kroin is a citizen
of the United States.

(d)

Title of Class of Securities

Common Stock

(e)

CUSIP Number

651511107

Item 3. If this statement is filed pursuant to §240.13d-1(b) or 240.13d.2(b) or (c), check whether the person filing is a:
Not Applicable.
(a) o Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o)
(b) o Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) o Insurance company as defined in Section 3(a)(19) of the Act (15. U.S.C. 78c).
(d) o Investment Company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) x An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).

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