Filing Details

Accession Number:
0001126234-16-000237
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-03-16 17:53:02
Reporting Period:
2016-03-15
Filing Date:
2016-03-16
Accepted Time:
2016-03-16 17:53:02
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2016-03-15 20,000 $17.68 297,756 No 4 S Direct
Common Stock Disposition 2016-03-15 5,000 $18.60 292,756 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 25,000 Indirect By Spouse
Common Stock 139 Indirect By Spouse's IRA
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 5/26/2015, as amended 1/28/2016.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.30 to $18.15, 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.
  3. Includes 11,500 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 two successive annual installments with the next installment occurring on January 2, 2017, 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.
  4. Includes 33,750 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 three successive annual installments with the next installment occurring on January 2, 2017, 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.
  5. Includes 46,639 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 with the next installment occurring on January 4, 2017, 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.