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Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Great Point Partners | 0 | 1,500,000 | 0 | 1,500,000 | 1,500,000 | 5.13% |
| Dr. Jeffrey R. Jay, M.D | 0 | 1,500,000 | 0 | 1,500,000 | 1,500,000 | 5.13% |
| Mr. David Kroin | 0 | 1,500,000 | 0 | 1,500,000 | 1,500,000 | 5.13% |
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Page 1 of 10 – SEC Filing
| UNITED STATES Under the Securities Exchange Act of 1934 | |
| Newlink Genetics Corporation | |
| (Name of Issuer) | |
| Common Stock | |
| (Title of Class of Securities) | |
| 651511107 | |
| (CUSIP Number) | |
| May 26, 2017 | |
| (Date of Event which Requires Filing of this Statement) | |
| Check the appropriate box to designate the rule pursuant to which this Schedule is filed: | |
| x | Rule 13d-1(b) |
| o | Rule 13d-1(c) |
| o | Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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Page 2 of 10 – SEC Filing
| CUSIP No. 651511107 | 13G | Page 2 of 9 Pages |
| 1. | NAMES OF REPORTING PERSONS Great Point Partners, LLC I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): 37-1475292 | |
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |
| (a) | o | |
| (b) | o | |
| 3. | SEC USE ONLY | |
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION USA | |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE VOTING POWER 0 |
| 6. | SHARED VOTING POWER 1,500,000 | |
| 7. | SOLE DISPOSITIVE POWER 0 | |
| 8. | SHARED DISPOSITIVE POWER 1,500,000 | |
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,500,000 | |
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.13%1 | |
| 12. | TYPE OF REPORTING PERSON (See Instructions) IA | |
| 1 | Based on a total of 29,225,682 shares outstanding, as reported by the Issuer on a Form 10Q filed with the SEC on May 5, 2017. |
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Page 3 of 10 – SEC Filing
| CUSIP No. 651511107 | 13G | Page 3 of 9 Pages |
| 1. | NAMES OF REPORTING PERSONS Dr. Jeffrey R. Jay, M.D. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): | |
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |
| (a) | o | |
| (b) | o | |
| 3. | SEC USE ONLY | |
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION USA | |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE VOTING POWER 0 |
| 6. | SHARED VOTING POWER 1,500,000 | |
| 7. | SOLE DISPOSITIVE POWER 0 | |
| 8. | SHARED DISPOSITIVE POWER 1,500,000 |
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,500,000 | |
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.13%1 | |
| 12. | TYPE OF REPORTING PERSON (See Instructions) IN | |
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Page 4 of 10 – SEC Filing
| CUSIP No. 651511107 | 13G | Page 4 of 9 Pages |
| 1. | NAMES OF REPORTING PERSONS Mr. David Kroin I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): | |
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |
| (a) | o | |
| (b) | o | |
| 3. | SEC USE ONLY | |
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION USA | |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE VOTING POWER 0 |
| 6. | SHARED VOTING POWER 1,500,000 | |
| 7. | SOLE DISPOSITIVE POWER 0 | |
| 8. | SHARED DISPOSITIVE POWER 1,500,000 |
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,500,000 | |
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.13%1 | |
| 12. | TYPE OF REPORTING PERSON (See Instructions) IN | |
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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 2503 South Loop Drive, Ames, Iowa 50010 | ||
| Item 2. | |||
| (a) | Name of Person Filing Great Point Partners, LLC Mr. David Kroin | ||
| The Reporting Persons have entered into a Joint Filing Agreement, | |||
| (b) | Address of Principal Business Office, or if none, Residence The address of the principal business 165 Mason Street, 3rd Floor | ||
| (c) | Citizenship | ||
| Great Point Partners, LLC is a limited liability company organized | |||
| (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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Page 6 of 10 – SEC Filing
| CUSIP No. 651511107 | 13G | Page 6 of 9 Pages |
| (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). | |
| Item 4. | Ownership |
| Biomedical Value Fund, L.P. (“BVF”) is the record Biomedical Offshore Value Fund, Ltd. (“BOVF”) is 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. |
| 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 | ||
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Page 7 of 10 – SEC Filing
| CUSIP No. 651511107 | 13G | Page 7 of 9 Pages |
| (iii) | Sole power to dispose or to direct the disposition of: 0 | ||
| (iv) | Shared power to dispose or to direct the disposition of: 1,500,000 | ||
| 2. | Dr. Jeffrey R. Jay, M.D. | ||
| (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 | ||
| (iii) | Sole power to dispose or to direct the disposition of: 0 | ||
| (iv) | Shared power to dispose or to direct the disposition of: 1,500,000 | ||
| 3. | Mr. David Kroin | ||
| (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 | ||
| (iii) | Sole power to dispose or to direct the disposition of: 0 | ||
| (iv) | Shared power to dispose or to direct the disposition of: 1,500,000 | ||
| Item 5. | Ownership of Five Percent or Less of a Class |
If this statement is
being filed to report the fact that as of the date hereof each of the Reporting Persons has ceased to be the beneficial owner of
more than five percent of the class of securities, check the following o.
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person: |
See Item 4.
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company |
Not Applicable.
| Item 8. | Identification and Classification of Members of the Group |
Not Applicable.
| Item 9. | Notice of Dissolution of Group |
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Page 8 of 10 – SEC Filing
| CUSIP No. 651511107 | 13G | Page 8 of 9 Pages |
Not Applicable.
| Item 10. | Certification |
By signing below I certify
that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose
of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not
held in connection with or as participant in any transaction having that purpose or effect.
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Page 9 of 10 – SEC Filing
| CUSIP No. 651511107 | 13G | Page 9 of 9 Pages |
SIGNATURE
After reasonable inquiry
and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: June 5, 2017
| GREAT POINT PARTNERS, LLC | |||
| By: | /s/ Dr. Jeffrey R. Jay, M.D. | ||
| Dr. Jeffrey R. Jay, M.D., | |||
| as senior managing member | |||
| /s/ Dr. Jeffrey R. Jay, M.D. | |||
| DR. JEFFREY R. JAY, M.D. | |||
| /s/ Mr. David Kroin | |||
| MR. DAVID KROIN | |||
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Page 10 of 10 – SEC Filing
Exhibit
A
AGREEMENT REGARDING THE JOINT FILING
OF SCHEDULE 13G
The undersigned hereby agree as follows:
(i) Each of them is individually eligible to use the Schedule 13G to which this Exhibit is attached, and such
Schedule 13G is filed on behalf of each of them; and
(ii) Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and
for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible
for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or
has reason to believe that such information is inaccurate.
Date: June 5, 2017
| GREAT POINT PARTNERS, LLC | |||
| By: | /s/ Dr. Jeffrey R. Jay, M.D. | ||
| Dr. Jeffrey R. Jay, M.D., | |||
| as senior managing member | |||
| /s/ Dr. Jeffrey R. Jay, M.D. | |||
| DR. JEFFREY R. JAY, M.D. | |||
| /s/ Mr. David Kroin | |||
| MR. DAVID KROIN | |||
