4//SEC Filing
NEWLINK GENETICS CORP 4
Accession 0001126234-15-000010
CIK 0001126234operating
Filed
Jan 5, 7:00 PM ET
Accepted
Jan 6, 8:36 PM ET
Size
20.6 KB
Accession
0001126234-15-000010
Insider Transaction Report
Form 4
NEWLINK GENETICS CORP(NLNK)
Wiley Brian
VP of Business Development
Transactions
- Tax Payment
Common Stock
2015-01-02$43.65/sh−540$23,571→ 6,286 total - Exercise/Conversion
Option to Purchase Common Stock
2015-01-02−20,000→ 129,000 totalExercise: $11.79Exp: 2023-01-13→ Common Stock (20,000 underlying) - Award
Common Stock
2015-01-02+7,400→ 13,686 total - Award
Stock Option (Right to Buy)
2015-01-02+23,400→ 23,400 totalExercise: $43.65Exp: 2025-01-01→ Common Stock (23,400 underlying) - Sale
Common Stock
2015-01-02$39.68/sh−10,000$396,800→ 23,686 total - Exercise/Conversion
Common Stock
2015-01-02$11.79/sh+20,000$235,800→ 33,686 total
Footnotes (8)
- [F1]Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 1,425 previously reported restricted stock units ("RSUs") granted to the Reporting Person.
- [F2]Includes 4,275 RSUs previously reported as holdings of the Reporting Person granted under the Issuer's 2009 Equity Incentive Plan (the "Plan"). The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on January 2, 2016, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.
- [F3]Represents shares issued as RSUs under the Plan that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on January 2, 2016, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.
- [F4]The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 12/11/2014.
- [F5]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.51 to $40.00, 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.
- [F6]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.85 to $41.07, 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.
- [F7]Grant to the Reporting Person of a stock option under the Plan. The option vests and becomes exercisable in a series of 48 successive equal monthly installments with the first installment occurring on February 2, 2015, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. The option expires ten years after the date of grant.
- [F8]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.
Issuer
NEWLINK GENETICS CORP
CIK 0001126234
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001126234
Filing Metadata
- Form type
- 4
- Filed
- Jan 5, 7:00 PM ET
- Accepted
- Jan 6, 8:36 PM ET
- Size
- 20.6 KB