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Filing Details

Accession Number:: 0001126234-15-000010
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-01-06 20:36:54
Reporting Period:: 2015-01-02

Filing Date:: 2015-01-06
Accepted Time:: 2015-01-06 20:36:54
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2015-01-02	540	$43.65	6,286	No	4	F	Direct
Common Stock	Acquisiton	2015-01-02	7,400	$0.00	13,686	No	4	A	Direct
Common Stock	Acquisiton	2015-01-02	20,000	$11.79	33,686	No	4	M	Direct
Common Stock	Disposition	2015-01-02	10,000	$39.68	23,686	No	4	S	Direct
Common Stock	Disposition	2015-01-02	10,000	$40.98	13,686	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	F	Direct
No	4	A	Direct
No	4	M	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)	Acquisiton	2015-01-02	23,400	$0.00	23,400	$43.65
Common Stock	Option to Purchase Common Stock	Disposition	2015-01-02	20,000	$0.00	20,000	$11.79

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
23,400		2025-01-01	No	4	A	Direct
129,000		2023-01-13	No	4	M	Direct

Footnotes

Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 1,425 previously reported restricted stock units ("RSUs") granted to the Reporting Person.
Includes 4,275 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 three successive annual installments with the next installment occurring on January 2, 2016, 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.
Represents shares issued as RSUs under the Plan that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on January 2, 2016, 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.
The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 12/11/2014.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.51 to $40.00, 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 $40.85 to $41.07, 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 Plan. The option vests and becomes exercisable in a series of 48 successive equal monthly installments with the first installment occurring on February 2, 2015, 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.
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.