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Filing Details

Accession Number:: 0001126234-14-000017
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-01-06 19:45:41
Reporting Period:: 2014-01-02

Filing Date:: 2014-01-06
Accepted Time:: 2014-01-06 19:45:41
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
1513265	J. William Ramsey	C/O Newlink Genetics Corp. 2503 South Loop Dr., Suite 5100 Ames IA 50010	Quality Assurance Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2014-01-02	6,800	$0.00	33,064	No	4	A	Direct
Common Stock	Acquisiton	2014-01-03	10,000	$3.07	43,064	No	4	M	Direct
Common Stock	Disposition	2014-01-03	1,396	$22.00	41,668	No	4	F	Direct
Common Stock	Disposition	2014-01-03	8,604	$22.00	33,064	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Acquisiton	2014-01-02	32,250	$0.00	32,250	$21.38
Common Stock	Stock Option (Right to Buy)	Disposition	2014-01-03	10,000	$0.00	10,000	$3.07

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
32,250		2024-01-01	No	4	A	Direct
41,428	2011-03-03	2020-03-02	No	4	M	Direct

Footnotes

Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on January 2, 2015, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.
Includes 751 shares acquired under the NewLink Genetics Corporation 2010 Employee Stock Purchase Plan on December 31, 2013.
Represents a "net exercise" of outstanding stock options. The reporting person received 8,604 shares of common stock on net exercise of option to purchase 10,000 shares of common stock. The Reporting Person forfeited 1,396 shares of common stock underlying the option in payment of the exercise price, using a stock price from the sale of $22.00.
The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 8/29/2013, as amended 12/17/2013.
Grant to the Reporting Person of a stock option under the Plan. The option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on January 2, 2014, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. The option expires ten years after the date of grant.
Grant to the Reporting Person of a stock option under the Plan. The option vests over a four-year period, with 25% of such option vesting on the one-year anniversary of the vesting commencement date and the remaining 75% of such option vesting in equal monthly installments over the next 36 months, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. The option expires ten years after the date of grant.