Filing Details
- Accession Number:
- 0001209191-16-145266
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-10-06 17:07:13
- Reporting Period:
- 2016-10-04
- Filing Date:
- 2016-10-06
- Accepted Time:
- 2016-10-06 17:07:13
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
906709 | Nektar Therapeutics | NKTR | Pharmaceutical Preparations (2834) | 943134940 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1206869 | W Howard Robin | C/O Nektar Therapeutics 455 Mission Bay Boulevard South San Francisco CA 94158 | President & Ceo | Yes | 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 | 2016-10-04 | 87,500 | $4.65 | 216,366 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-10-04 | 87,500 | $17.06 | 128,866 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 | Stock Option | Disposition | 2016-10-04 | 87,500 | $0.00 | 87,500 | $4.65 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
350,000 | 2013-02-23 | 2017-02-22 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 410 | Indirect | by spouse |
Footnotes
- This transaction was made pursuant to a Rule 10b5-1 trading plan (the "Expiring Option Plan") adopted by Mr. Robin in May 2015 and reported on a Form 8-K filed by Nektar Therapeutics on July 16, 2015. The Expiring Option Plan provides for the exercise and same-day sale of expiring stock options held by Mr. Robin on a monthly pro-rata basis on pre-specified dates over the six month period prior to stock option expiration.
- This number includes 997 shares held by the reporting person in the Issuer's 401(K) plan and 2,250 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).
- This transaction was executed in multiple trades at prices ranging from $16.82 to $17.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.