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

Item 4.

Ownership

Biomedical Value Fund, L.P. (“BVF”) is the record
owner of 414,000 shares (the “BVF Shares”). Great Point Partners, LLC (“Great Point”) is the investment
manager of BVF, and by virtue of such status may be deemed to be the beneficial owner of the BVF Shares. Each of Dr. Jeffrey R.
Jay, M.D. (“Dr. Jay”), as senior managing member of Great Point, and Mr. David Kroin (“Mr. Kroin”), as
special managing member of Great Point, has voting and investment power with respect to the BVF Shares, and therefore may be deemed
to be the beneficial owner of the BVF Shares.

Biomedical Offshore Value Fund, Ltd. (“BOVF”) is
the record owner of 636,000 shares (the “BOVF Shares”). Great Point is the investment manager of BOVF, and by virtue
of such status may be deemed to be the beneficial owner of the BOVF Shares. Each of Dr. Jay, as senior managing member of Great
Point, and Mr. Kroin, as special managing member of Great Point, has voting and investment power with respect to the BOVF Shares,
and therefore may be deemed to be the beneficial owner of the BOVF Shares.

GEF-SMA, L.P. (“GEF-SMA”) is the record owner of 450,000 shares (the “GEF-SMA Shares”). Great Point is the investment manager with respect to the GEF-SMA Shares, and by virtue of such status may be deemed to be the beneficial owner of the GEF-SMA Shares. Each of Dr. Jay, as senior managing member of Great Point, and Mr. Kroin, as special managing member of Great Point, has voting and investment power with respect to the GEF-SMA Shares, and therefore may be deemed to be the beneficial owner of the GEF-SMA Shares.

Notwithstanding the above, Great Point, Dr. Jay and Mr. Kroin disclaim beneficial ownership of the BVF Shares, the BOVF Shares and the GEF-SMA Shares, except to the extent of their respective pecuniary interests.

Provide the following information regarding the aggregate number
and percentage of the class of securities of the issuer identified in Item 1.

(f)	o	An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).

(g)	o	A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).

(h)	o	A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).

(i)	o	A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).

(j)	o	Group, in accordance with §240.13d-1(b)(1)(ii)(J).


1.	Great Point Partners, LLC

(a)	Amount beneficially owned: 1,500,000

(b)	Percent of class: 5.13%¹

(c)	Number of shares as to which the person has:

	(i)	Sole power to vote or to direct the vote: 0

	(ii)	Shared power to vote or to direct the vote: 1,500,000

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

Published on June 6, 2017 at 4:29 pm by Insider Monkey Staff in Hedge Funds

Page 6 of 10 – SEC Filing

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CUSIP No. 651511107	13G	Page 6 of 9 Pages