SEC Form 5 · accession 0001126234-15-000026
NEWLINK GENETICS CORP · (NLNK)
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ernest Talarico III
Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 17, 2015 · 4:22 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 StockF1 | Dec 16, 2014 | G | 1,690 | $0.00 | D | 27,634 | D | |
| Common Stock | Dec 16, 2014 | G | 845 | $0.00 | A | 845 | I | By son's trust |
| Common Stock | Dec 16, 2014 | G | 845 | $0.00 | A | 845 | I | By daughter's trust |
| Common StockF2 | holding | — | — | — | 1,737 | I | - | |
| Common StockF3 | holding | — | — | — | 977 | I | - |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 2,944 restricted stock units ("RSUs") previously reported as holdings of the Reporting Person granted under the Issuer's 2010 Non-Employee Directors' Stock Award Plan (the "Plan"). One hundred percent (100%) of the RSUs will 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.
- F2These shares are held by the spouse of the Reporting Person in a Roth IRA account.
- F3These shares are held by the Reporting Person in a Roth IRA account.