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Filing Details

Accession Number:: 0001126234-14-000025
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-01-06 19:48:03
Reporting Period:: 2014-01-02

Filing Date:: 2014-01-06
Accepted Time:: 2014-01-06 19:48:03
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
1512113	Jr. J. Charles Link	C/O Newlink Genetics Corp. 2503 South Loop Dr., Suite 5100 Ames IA 50010	Chairman Of The Board And Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2014-01-02	12,500	$0.00	861,987	No	4	A	Direct
Common Stock	Acquisiton	2014-01-02	23,000	$0.00	884,987	No	4	A	Direct
Common Stock	Disposition	2014-01-03	11,000	$21.97	873,987	No	4	S	Direct
Common Stock	Disposition	2014-01-06	9,000	$22.44	864,987	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	A	Direct
No	4	S	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	108,750	$0.00	108,750	$21.38

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
108,750		2024-01-01	No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	10,000	Indirect	By Spouse
Common Stock	139	Indirect	By Spouse's IRA

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. 100% of the RSUs vest immediately.
Represents shares issued as RSUs under 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.
The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 6/17/2013.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.77 to $22.25, 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 price within the ranges set forth in footnote 4 to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.25 to $22.50, 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 price within the ranges set forth in footnote 5 to this Form 4.
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.