Filing Details
- Accession Number:
- 0000899243-17-002871
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-06 17:20:33
- Reporting Period:
- 2017-02-02
- Filing Date:
- 2017-02-06
- Accepted Time:
- 2017-02-06 17:20:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 906709 | Nektar Therapeutics | NKTR | Pharmaceutical Preparations (2834) | 943134940 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1420766 | John Nicholson | C/O Nektar Therapeutics 455 Mission Bay Boulevard South San Francisco CA 94158 | Svp & Chief Operating 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 | 2017-02-02 | 66,495 | $4.65 | 206,821 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-02 | 66,495 | $12.38 | 140,326 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-03 | 8,505 | $4.65 | 148,831 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-03 | 8,505 | $12.48 | 140,326 | 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 | Employee Stock Option (right to buy) | Disposition | 2017-02-02 | 66,495 | $0.00 | 66,495 | $4.65 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-02-03 | 8,505 | $0.00 | 8,505 | $4.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 53,505 | 2017-02-22 | No | 4 | M | Direct | |
| 45,000 | 2017-02-22 | No | 4 | M | Direct |
Footnotes
- The Reporting Person exercised and sold a portion of the Shares of common stock subject to this stock option that expires on February 22, 2017, with the objective of using substantially all of the proceeds to cover the exercise price of the entire stock option and applicable withholding taxes.
- This price reflects the weighted average sale price for open-market sales of Shares made by the Reporting Person on February 2, 2017. The actual prices for these transactions range from $12.20 to $12.45, inclusive. The Reporting Person further undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.
- This price reflects the weighted average sale price for open-market sales of Shares made by the Reporting Person on February 3, 2017. The actual prices for these transactions range from $12.45 to $12.51, inclusive.
- This stock option became fully vested on February 23, 2013 and will expire on February 22, 2017 if not exercised.
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