Filing Details
- Accession Number:
- 0001126234-14-000030
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-01-07 17:40:33
- Reporting Period:
- 2014-01-03
- Filing Date:
- 2014-01-07
- Accepted Time:
- 2014-01-07 17:40:33
- 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 |
|---|---|---|---|---|---|---|---|
| 1512114 | N. Nicholas Vahanian | C/O Newlink Genetics Corporation 2503 South Loop Dr., Suite 5100 Ames IA 50010 | President, Chief Medical Offic | 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 | 2014-01-03 | 43 | $0.80 | 93,687 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-01-03 | 2 | $22.19 | 93,685 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2014-01-03 | 41 | $22.19 | 93,644 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-01-03 | 25,322 | $2.10 | 118,966 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-01-03 | 2,397 | $22.19 | 116,569 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2014-01-03 | 22,925 | $22.19 | 93,644 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-01-03 | 4,635 | $2.10 | 98,279 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-01-03 | 439 | $22.19 | 97,840 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2014-01-03 | 4,196 | $22.19 | 93,644 | 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 | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| 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 | 2014-01-03 | 43 | $0.00 | 43 | $0.80 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2014-01-03 | 25,322 | $0.00 | 25,322 | $2.10 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2014-01-03 | 4,635 | $0.00 | 4,635 | $2.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,521 | 2010-01-01 | 2019-01-20 | No | 4 | M | Direct |
| 43 | 2003-10-18 | 2018-07-15 | No | 4 | M | Direct |
| 309,038 | 2008-06-01 | 2019-05-12 | No | 4 | M | Direct |
Footnotes
- Represents a "net exercise" of outstanding stock options. The reporting person received 41 shares of common stock on net exercise of option to purchase 43 shares of common stock. The Reporting Person forfeited 2 shares of common stock underlying the option in payment of the exercise price, using a weighted average stock price from the sale of $22.1908.
- 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 $22.50, 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 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 10/28/2013.
- Represents a "net exercise" of outstanding stock options. The reporting person received 22,925 shares of common stock on net exercise of option to purchase 25,322 shares of common stock. The Reporting Person forfeited 2,397 shares of common stock underlying the option in payment of the exercise price, using a weighted average stock price from the sale of $22.1908.
- Represents a "net exercise" of outstanding stock options. The reporting person received 4,196 shares of common stock on net exercise of option to purchase 4,635 shares of common stock. The Reporting Person forfeited 439 shares of common stock underlying the option in payment of the exercise price, using a weighted average stock price from the sale of $22.1908.
- Grant to the Reporting Person of a stock option under the Plan. The option vests over a five-year period, with 20% of such option vesting on the one-year anniversary of the vesting commencement date and the remaining 80% of such option vesting in equal monthly installments over the next 48 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.
- Grant to the Reporting Person of a stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). The option is fully vested.
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