SEC Form 3 · accession 0001126234-15-000195
NEWLINK GENETICS CORP · (NLNK)
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paolo Pucci
Director
Period of report
Nov 12, 2015
Accepted (ET)
Nov 16, 2015 · 5:11 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 | holding | — | — | — | 6,170 | 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)F2 | $34.96 | holding | — | — | — | Nov 12, 2016 | Nov 11, 2025 | Common Stock | 15,267 | — | D |
| Stock Option (Right to Buy)F3 | $34.96 | holding | — | — | — | — | Nov 11, 2025 | Common Stock | 3,555 | — | D |
Explanation of responses
- F1Automatic grant to the Reporting Person of restricted stock units ("RSUs") under the Issuer's 2010 Non-Employee Directors' Stock Award Plan (the "Plan"). Of these RSUs, 5,005 vest in a series of three annual installments beginning on November 12, 2016 and 1,165 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.
- F2Automatic grant to the Reporting Person of a nonstatutory stock option under the Plan. Thirty-three percent (33%) of the shares vest on November 12, 2016 and the remaining sixty-seven percent (67%) of the shares vest in a series of 24 successive equal monthly installments thereafter, subject to the Reporting Persons's continuous service as of such dates. The option expires ten years after the date of grant, unless it expires sooner pursuant to the terms of the Plan.
- F3Automatic grant to the Reporting Person of a nonstatutory stock option under the Plan. One hundred percent (100%) of the shares shall 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. The option expires ten years after the date of grant, unless it expires sooner pursuant to the terms of the Plan.