SEC Form 4 · accession 0001126234-15-000108

NEWLINK GENETICS CORP · (NLNK)

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

Reporting owner

William J. Ramsey

Officer — Quality Assurance Officer

Period of report

Jun 1, 2015

Accepted (ET)

Jun 3, 2015 · 4:22 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^F1	Jun 1, 2015	M	2,200	$11.79	A	34,366	D
Common Stock	Jun 1, 2015	M	280	$21.38	A	34,646	D
Common Stock^F3	Jun 1, 2015	S	1,500	$42.53	D	33,146	D
Common Stock^F4	Jun 1, 2015	S	1,000	$42.94	D	32,146	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	$11.79	Jun 1, 2015	M	2,200	D	—	Jan 13, 2023	Common Stock	2,200	15,645	D
Stock Option (Right to Buy)^F6	$21.38	Jun 1, 2015	M	280	D	—	Jan 1, 2024	Common Stock	280	31,970	D

Explanation of responses

F1Includes 3,399 shares delivered net settlement upon vesting of 5,100 restricted stock units ("RSUs") previously reported as holdings of the Reporting Person granted under the Issuer's 2009 Equity Incentive Plan. The RSUs became immediately vested under the terms of separation agreement entered into between the Company and the Reporting Person on May 22, 2015.
F2The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 1/5/2015.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.13 to $42.73, 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.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.78 to $43.16, 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.
F51/4th of the shares vest on January 14, 2014, which is one year after the vesting commencement date. 1/48th of the shares vest monthly thereafter over the next three years.
F61/4th of the shares vest on January 2, 2015, which is one year after the vesting commencement date. 1/48th of the shares vest monthly thereafter over the next three years.