SEC Form 4 · accession 0001126234-16-000299
NEWLINK GENETICS CORP · (NLNK)
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paolo Pucci
Director
Period of report
Aug 9, 2016
Accepted (ET)
Aug 11, 2016 · 5:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001126234
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $10.78 | Aug 9, 2016 | A | 17,773 | A | — | Aug 8, 2026 | Common Stock | 17,773 | 17,773 | D |
| Stock Option (Right to Buy)F2 | $10.78 | Aug 9, 2016 | A | 4,783 | A | — | Aug 8, 2026 | Common Stock | 4,783 | 4,783 | D |
Explanation of responses
- F1Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2010 Non-Employee Directors' Stock Award 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.
- F2Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive 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.