Filing Details

Accession Number:
0001126234-14-000043
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-01-15 20:58:05
Reporting Period:
2014-01-13
Filing Date:
2014-01-15
Accepted Time:
2014-01-15 20:58:05
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
1566492 Brian Wiley C/O Newlink Genetics Corporation
2503 South Loop Drive, Suite 5100
Ames IA 50010
Vp Of Business Development 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 2014-01-13 10,000 $11.79 16,826 No 4 M Direct
Common Stock Disposition 2014-01-13 10,000 $25.18 6,826 No 4 S Direct
Common Stock Acquisiton 2014-01-15 10,000 $11.79 16,826 No 4 M Direct
Common Stock Disposition 2014-01-15 10,000 $30.00 6,826 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S 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 2014-01-13 10,000 $0.00 10,000 $11.79
Common Stock Option to Purchase Common Stock Disposition 2014-01-15 10,000 $0.00 10,000 $11.79
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
194,000 2023-01-13 No 4 M Direct
184,000 2023-01-13 No 4 M Direct
Footnotes
  1. Includes 5,700 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 four successive annual installments beginning on January 2, 2015, 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.
  2. The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 12/18/2013.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.48, 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 3 to this Form 4.
  4. 1/4th of the shares vest on January 14, 2014, which is one year after the vesting commencement date. 1/48th of the shares vest monthly thereafter over the next three years.