JOHNSON CHAD ALLEN 4

4 · NEWLINK GENETICS CORP · Filed Aug 2, 2019

Form 4

Period: 2019-07-31

Director

Transactions

Disposition to Issuer
Stock Option (Right to Buy)
2019-07-31−27,777→ 0 total
Exercise: $5.33Exp: 2028-05-22→ Common Stock (27,777 underlying)
Award
Stock Option (Right to Buy)
2019-07-31+13,424→ 13,424 total
Exercise: $1.77Exp: 2026-07-31→ Common Stock (13,424 underlying)
Award
Stock Option (Right to Buy)
2019-07-31+13,889→ 13,889 total
Exercise: $1.77Exp: 2026-07-31→ Common Stock (13,889 underlying)
Award
Stock Option (Right to Buy)
2019-07-31+10,739→ 10,739 total
Exercise: $1.77Exp: 2026-07-31→ Common Stock (10,739 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2019-07-31−48,324→ 0 total
Exercise: $7.07From: 2019-03-19Exp: 2028-03-18→ Common Stock (48,324 underlying)

Footnotes (4)

[F1]On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.
[F2]The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.
[F3]This option vests as to 50% on the second anniversary of grant date and the remaining 50% on the third anniversary of grant date.
[F4]The option provided that one hundred percent (100%) of the shares would vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date.

Documents

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