Filing Details
- Accession Number:
- 0001099910-12-000283
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-30 13:59:24
- Reporting Period:
- 2012-11-29
- Filing Date:
- 2012-11-30
- Accepted Time:
- 2012-11-30 13:59:24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1126234 | Newlink Genetics Corp | NLNK | Pharmaceutical Preparations (2834) | 421491350 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1261262 | Jr H Gordon Link | C/O Newlink Genetics Corporation 2503 South Loop Dr., Suite 5100 Ames IA 50010 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-11-29 | 1,000 | $2.10 | 5,313 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-11-29 | 168 | $12.53 | 5,145 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2012-11-29 | 832 | $12.53 | 4,313 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-11-29 | 1,000 | $0.00 | 100,000 | $2.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 81,739 | 2018-08-05 | No | 4 | M | Direct |
Footnotes
- Represents a "net exercise" of outstanding stock options. The reporting person received 832 shares of common stock on net exercise of option to purchase 1,000 shares of common stock. The reporting person forfeited 168 shares of common stock underlying the option in payment of the exercise price, using the weighted average stock price from the sale of $12.5264.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.35 to $12.71, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 2 to this Form 4.
- The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 10/1/2012.
- 1/4th of the shares vest on August 4, 2009, which is one year after the vesting commencement date. 1/48th of the shares vest monthly thereafter over the next three years.
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