Filing Details
- Accession Number:
- 0001126234-15-000035
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-19 16:50:05
- Reporting Period:
- 2015-02-17
- Filing Date:
- 2015-02-19
- Accepted Time:
- 2015-02-19 16:50:05
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2015-02-17 | 1,032 | $6.87 | 42,699 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-02-17 | 1,468 | $7.00 | 44,167 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-02-17 | 2,500 | $40.00 | 41,667 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option to Purchase Common Stock | Disposition | 2015-02-17 | 1,032 | $0.00 | 1,032 | $6.87 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-02-17 | 1,468 | $0.00 | 1,468 | $7.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 17,387 | 2022-01-18 | No | 4 | M | Direct | |
| 1,588 | 2012-04-14 | 2021-11-09 | No | 4 | M | Direct |
Footnotes
- Includes 5,100 restricted stock units ("RSUs") previously reported as holdings of the Reporting Person granted under the Issuer's 2009 Equity Incentive Plan (the "Plan"). The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on January 2, 2016, 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 7,800 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of four successive annual installments beginning on January 2, 2016, 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 1/5/2015.
- 1/4th of the shares vest on January 18, 2013, which is one year after the vesting commencement date. 1/48th of the shares vest monthly thereafter over the next three years.
- Grant to the Reporting Person of a stock option under the Issuer's 2009 Equity Incentive Plan (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.
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