4//SEC Filing
NEWLINK GENETICS CORP 4
Accession 0001126234-16-000209
CIK 0001126234operating
Filed
Jan 5, 7:00 PM ET
Accepted
Jan 6, 6:51 PM ET
Size
13.1 KB
Accession
0001126234-16-000209
Insider Transaction Report
Form 4
NEWLINK GENETICS CORP(NLNK)
Wiley Brian
VP of Business Development
Transactions
- Sale
Common Stock
2016-01-05$35.20/sh−1,000$35,200→ 19,942 total - Award
Stock Option (Right to Buy)
2016-01-04+18,259→ 18,259 totalExercise: $34.73Exp: 2026-01-03→ Common Stock (18,259 underlying) - Award
Common Stock
2016-01-04+6,382→ 21,237 total - Sale
Common Stock
2016-01-05$34.26/sh−295$10,107→ 20,942 total
Footnotes (8)
- [F1]This Form 4 does not include 7,013 performance-based restricted stock units granted on January 4, 2016. These shares will be reported on subsequent Form 4's if and when the performance criteria are met.
- [F2]Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan (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 4, 2017, 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]Includes 2,850 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on January 2, 2017, 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]Includes 5,550 RSUs previously reported as holdings of the Reporting Person granted under 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, 2017, 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.
- [F5]Represents shares of Common Stock sold to cover tax obligations associated with the vesting of previously reported RSUs pursuant to a plan previously implemented with a third party broker and approved by the Issuer's board of directors to offset the cost associated with taxes.
- [F6]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.23 to $34.28, 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]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.84 to $35.74, 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.
- [F8]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 beginning on February 4, 2016, 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.
Documents
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, 6:51 PM ET
- Size
- 13.1 KB