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Filing Details

Accession Number:: 0001126234-15-000072
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-04-09 17:00:19
Reporting Period:: 2015-04-07

Filing Date:: 2015-04-09
Accepted Time:: 2015-04-09 17:00:19
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
1512119	A. Thomas Raffin	C/O Newlink Genetics Corporation 2503 South Loop Dr., Suite 5100 Ames IA 50010		Yes	No	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	2015-04-07	7,142	$2.10	69,801	No	4	M	Direct
Common Stock	Acquisiton	2015-04-07	7,142	$10.02	76,943	No	4	M	Direct
Common Stock	Acquisiton	2015-04-07	3,205	$1.96	80,148	No	4	M	Direct
Common Stock	Acquisiton	2015-04-07	3,205	$1.96	83,353	No	4	M	Direct
Common Stock	Disposition	2015-04-07	800	$53.18	82,553	No	4	S	Direct
Common Stock	Disposition	2015-04-07	10,024	$54.32	72,529	No	4	S	Direct
Common Stock	Disposition	2015-04-07	9,870	$55.03	62,659	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	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)	Disposition	2015-04-07	7,142	$0.00	7,142	$2.10
Common Stock	Stock Option (Right to Buy)	Disposition	2015-04-07	7,142	$0.00	7,142	$10.02
Common Stock	Stock Option (Right to Buy)	Disposition	2015-04-07	3,205	$0.00	3,205	$1.96
Common Stock	Stock Option (Right to Buy)	Disposition	2015-04-07	3,205	$0.00	3,205	$1.96

Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2008-01-01	2018-08-05	No	4	M	Direct
2011-12-09	2020-12-08	No	4	M	Direct
2009-01-04	2019-12-03	No	4	M	Direct
2010-01-04	2019-12-03	No	4	M	Direct

Footnotes

Includes 2,944 restricted stock units ("RSUs") previously reported as holdings of the Reporting Person granted under the Issuer's 2010 Non-Employee Directors' Stock Award Plan (the "Plan"). One hundred percent (100%) of the RSUs will vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date.
The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 3/24/2015.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.62 to $53.29, 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 this footnote 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 $53.86 to $54.84, 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 this footnote 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 $54.87 to $55.28, 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 this footnote to this Form 4.
Grant to the Reporting Person of a stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). The option is fully vested.
Grant to the Reporting Person of a stock option under the Plan. The option vests over a two-year period, with 50% of such option vesting on the one-year anniversary of the vesting commencement date and the remaining 50% of such option vesting in equal monthly installments over the next 12 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.