Deerfield Private Design Fund III, L.P. 3
3 · NEWLINK GENETICS CORP · Filed Mar 20, 2020
Insider Transaction Report
Form 3
Flynn James E
10% OwnerOther
Holdings
- 936,169(indirect: Through Deerfield Private Design Fund III, L.P.)
Common Stock
Footnotes (3)
- [F1]After giving effect to the the 1-for-9 reverse split of the common stock effected by the issuer on March 18, 2020 in connection with its business combination with NewLink Genetics Corporation.
- [F2]This Form 3 is being filed by the undersigned as well as the entities listed on the Joint filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Management Company, L.P. is the investment manager of Fund III. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P. and Deerfield Management Company, L.P. In accordance with Instruction 5(b)(iv) to Form 3, the entire amount of the Issuer's securities held by Fund III is reported herein.
- [F3]For purposes of Section 16, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.