SEC Form 4 · accession 0001126234-15-000049

NEWLINK GENETICS CORP · (NLNK)

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

Reporting owner

Nicholas N. Vahanian

Officer — President, Chief Medical Offic

Period of report

Mar 5, 2015

Accepted (ET)

Mar 9, 2015 · 6:50 pm EDT

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
Common Stock^F2,F3,F4	Mar 5, 2015	S	60,000	$49.89	D	40,839	D
Common Stock^F3,F4	Mar 9, 2015	M	2,521	$0.80	A	43,360	D
Common Stock^F3,F4	Mar 9, 2015	M	10,479	$2.10	A	53,839	D
Common Stock^F3,F4	Mar 9, 2015	S	15,000	$49.57	D	38,839	D

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)^F5	$0.80	Mar 9, 2015	M	2,521	D	Jan 1, 2010	Jan 20, 2019	Common Stock	2,521	0	D
Stock Option (Right to Buy)^F5	$2.10	Mar 9, 2015	M	10,479	D	Jun 1, 2008	May 12, 2019	Common Stock	10,479	264,895	D

Explanation of responses

F1The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 1/5/2015.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.68 to $50.51, 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.
F3Includes 11,250 restricted stock units ("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.
F4Includes 25,000 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 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.
F5Grant to the Reporting Person of a stock option under the Plan. The option vests over a five-year period, with 20% of such option vesting on the one-year anniversary of the vesting commencement date and the remaining 80% of such option vesting in equal monthly installments over the next 48 months, 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.