SEC Form 4 · accession 0001126234-17-000115
NEWLINK GENETICS CORP · (NLNK)
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl W. Langren
Officer — Principal Accounting Officer
Period of report
Nov 21, 2017
Accepted (ET)
Nov 22, 2017 · 6:41 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,F2,F3,F4 | Nov 21, 2017 | M | 9,523 | $2.10 | A | 21,895 | D | |
| Common StockF1,F2,F3,F4 | Nov 21, 2017 | S | 2,229 | $9.05 | D | 19,666 | D | |
| Common Stock | holding | — | — | — | 49,691 | I | By Spouse's Trust |
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) | $2.10 | Nov 21, 2017 | M | 9,523 | D | Dec 14, 2008 | Dec 13, 2017 | Common Stock | 9,523 | 0 | D |
Explanation of responses
- F1Includes 1,425 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 one installment on January 2, 2018, 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.
- F2Includes 2,550 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 two successive annual installments with the next installment occurring on January 2, 2018, 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.
- F3Includes 2,357 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 three successive annual installments with the next installment occurring on January 4, 2018, 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 2,100 shares acquired under the NewLink Genetics Corporation 2010 Employee Stock Purchase Plan on June 30, 2017.
- F5Represents shares of Common Stock sold to cover the exercise cost associated with the exercise of the full 9,523 stock options.