Filing Details
- Accession Number:
- 0001209191-17-018033
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-03 19:04:55
- Reporting Period:
- 2017-03-02
- Filing Date:
- 2017-03-03
- Accepted Time:
- 2017-03-03 19:04:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1394875 | M Gil Labrucherie | C/O Nektar Therapeutics 455 Mission Bay Boulevard South San Francisco CA 94158 | Svp & Chief Financial 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 | 2017-03-02 | 167,506 | $6.34 | 236,776 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-03-02 | 167,506 | $15.15 | 69,270 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-03-03 | 7,494 | $6.34 | 76,764 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-03-03 | 7,494 | $15.21 | 69,270 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-03-03 | 25,000 | $9.24 | 94,270 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-03-03 | 25,000 | $15.21 | 69,270 | 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 | |
| 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 | Disposition | 2017-03-02 | 167,506 | $0.00 | 167,506 | $6.34 |
| Common Stock | Stock Option | Disposition | 2017-03-03 | 7,494 | $0.00 | 7,494 | $6.34 |
| Common Stock | Stock Option | Disposition | 2017-03-03 | 25,000 | $0.00 | 25,000 | $9.24 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,494 | 2013-06-10 | 2017-06-09 | No | 4 | M | Direct |
| 0 | 2013-06-10 | 2017-06-09 | No | 4 | M | Direct |
| 0 | 2013-11-18 | 2017-11-17 | No | 4 | M | Direct |
Footnotes
- This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Labrucherie on March 14, 2016 related to 175,000 stock options scheduled to expire on June 9, 2017.
- This number includes 997 shares held by the reporting person in the Issuer's 401(K) plan and 2,750 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).
- This transaction was executed in multiple trades at prices ranging from $15.00 to $15.59. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
- This transaction was executed in multiple trades at prices ranging from $15.00 to $15.40. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
- This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Labrucherie on March 14, 2016 related to 25,000 stock options scheduled to expire on November 17, 2017.
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