Filing Details
- Accession Number:
- 0001126234-18-000110
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-07-12 16:21:13
- Reporting Period:
- 2018-07-10
- Accepted Time:
- 2018-07-12 16:21:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1512132 | Iii Ernest Talarico | C/O Newlink Genetics Corporation 2503 South Loop Dr., Suite 5100 Ames IA 50010 | Yes | No | 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 | 2018-07-10 | 7,142 | $2.10 | 39,365 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-07-10 | 3,571 | $2.10 | 42,936 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-07-10 | 3,093 | $2.10 | 46,029 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-07-10 | 13,806 | $4.82 | 32,223 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2018-07-10 | 7,142 | $0.00 | 7,142 | $2.10 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-07-10 | 3,571 | $0.00 | 3,571 | $2.10 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-07-10 | 3,093 | $0.00 | 3,093 | $2.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2007-02-01 | 2018-08-05 | No | 4 | M | Direct |
| 0 | 2003-06-09 | 2018-07-15 | No | 4 | M | Direct |
| 0 | 2004-01-30 | 2018-07-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,737 | Indirect | - |
| Common Stock | 1,564 | Indirect | By son's trust |
| Common Stock | 1,564 | Indirect | By daughter's trust |
| Common Stock | 977 | Indirect | - |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.79 to $4.875, 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.
- These shares are held by the spouse of the Reporting Person in a Roth IRA account.
- These shares are held by the Reporting Person in a Roth IRA account.
- Grant to the Reporting Person of a stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). The option is fully vested.
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