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Filing Details

Accession Number:: 0001387131-20-006467
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-07-16 20:13:38
Reporting Period:: 2020-07-14

Accepted Time:: 2020-07-16 20:13:38
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1787400	Nkarta Inc.	NKTX	Pharmaceutical Preparations (2834)	X0

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1131399	Plc Glaxosmithkline	980 Great West Road Brentford Middlesex X0 TW8 9GS		Yes	No	Yes	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	Explanation
Common Stock	Acquisiton	2020-07-14	79,090	$0.00	79,090	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2020-07-14	525,499	$0.00	604,589	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2020-07-14	1,712,810	$0.00	2,317,399	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2020-07-14	833,333	$18.00	3,150,732	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Preferred Stock	Disposition	2020-07-14	292,663	$0.00	79,090	$0.00
Common Stock	Series A Preferred Stock	Disposition	2020-07-14	1,994,348	$0.00	525,499	$0.00
Common Stock	Series B Preferred Stock	Disposition	2020-07-14	6,337,403	$0.00	1,712,810	$0.00
Common Stock	Stock Option (right to buy)	Acquisiton	2020-07-14	10,700	$0.00	10,700	$18.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		No	4	C	Indirect
0		No	4	C	Indirect
0		No	4	C	Indirect
10,700	2030-07-08	No	4	A	Indirect

Footnotes

The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.
The shares reported herein are held by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.
The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.
The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.
S.R. One, Limited purchased 833,333 shares of Common Stock of Nkarta, Inc. (the "Issuer") in connection with the Issuer's public offering.
The stock option was granted to Simeon J. George as director's compensation and it vests 100% on the first anniversary of July 9, 2020, or, if earlier, on the day immediately preceding the first annual meeting of the Issuer's stockholders in 2021 at which one or more members of the Issuer's board of directors are to be elected. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Simeon George's separation from service with the Issuer due to death or "disability" (as described in the applicable award agreement).
(continued from footnote 6) As Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, Simeon J. George is obligated to transfer any shares issued under the stock option to S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.