SEC Form 4 · accession 0001126234-15-000004

NEWLINK GENETICS CORP · (NLNK)

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Carl W. Langren

Officer — Principal Accounting Officer

Period of report

Jan 2, 2015

Accepted (ET)

Jan 6, 2015 · 8:28 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001126234

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Jan 2, 2015	F	551	$43.65	D	5,149	D
Common Stock^F3,F2	Jan 2, 2015	A	5,100	$0.00	A	10,249	D
Common Stock	holding	—	—		—	2,500	I	By Son
Common Stock	holding	—	—		—	3,429	I	By Pension Plan
Common Stock	holding	—	—		—	3,429	I	By Spouse's Pension Plan
Common Stock	holding	—	—		—	56,691	I	By Spouse's Trust

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F4	$43.65	Jan 2, 2015	A	16,300	A	—	Jan 1, 2025	Common Stock	16,300	16,300	D

Explanation of responses

F1Represents 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.
F2Includes 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.
F3Represents 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.
F4Grant 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.