Filing Details
- Accession Number:
- 0001126234-15-000108
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-06-03 16:22:51
- Reporting Period:
- 2015-06-01
- Filing Date:
- 2015-06-03
- Accepted Time:
- 2015-06-03 16:22:51
- 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 |
|---|---|---|---|---|---|---|---|
| 1513265 | J. William Ramsey | C/O Newlink Genetics Corp. 2503 South Loop Dr., Suite 5100 Ames IA 50010 | Quality Assurance Officer | 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 | 2015-06-01 | 2,200 | $11.79 | 34,366 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-06-01 | 280 | $21.38 | 34,646 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-06-01 | 1,500 | $42.53 | 33,146 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-06-01 | 1,000 | $42.94 | 32,146 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2015-06-01 | 2,200 | $0.00 | 2,200 | $11.79 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-06-01 | 280 | $0.00 | 280 | $21.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 15,645 | 2023-01-13 | No | 4 | M | Direct | |
| 31,970 | 2024-01-01 | No | 4 | M | Direct |
Footnotes
- Includes 3,399 shares delivered net settlement upon vesting of 5,100 restricted stock units ("RSUs") previously reported as holdings of the Reporting Person granted under the Issuer's 2009 Equity Incentive Plan. The RSUs became immediately vested under the terms of separation agreement entered into between the Company and the Reporting Person on May 22, 2015.
- The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 1/5/2015.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.13 to $42.73, 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 $42.78 to $43.16, 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.
- 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.
- 1/4th of the shares vest on January 2, 2015, which is one year after the vesting commencement date. 1/48th of the shares vest monthly thereafter over the next three years.
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