Filing Details

Accession Number:
0001126234-14-000044
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-01-15 20:58:25
Reporting Period:
2014-01-13
Filing Date:
2014-01-15
Accepted Time:
2014-01-15 20:58:25
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
1512114 N. Nicholas Vahanian C/O Newlink Genetics Corporation
2503 South Loop Dr., Suite 5100
Ames IA 50010
President, Chief Medical Offic 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 Disposition 2014-01-13 10,000 $26.00 80,480 No 4 S Direct
Common Stock Disposition 2014-01-14 16,336 $26.58 64,144 No 4 S Direct
Common Stock Acquisiton 2014-01-14 18,664 $2.10 82,808 No 4 M Direct
Common Stock Disposition 2014-01-14 18,664 $26.58 64,144 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S 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 Stock Option (Right to Buy) Disposition 2014-01-14 18,664 $0.00 18,664 $2.10
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
290,374 2008-06-01 2019-05-12 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 52,856 Indirect By Spouse
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 10/28/2013.
  2. Includes 15,000 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.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.32 to $26.90, 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. Grant to the Reporting Person of a stock option under the Plan. The option vests over a five-year period, with 20% of such option vesting on the one-year anniversary of the vesting commencement date and the remaining 80% of such option vesting in equal monthly installments over the next 48 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.