SEC Form 4 · accession 0001126234-18-000010
NEWLINK GENETICS CORP · (NLNK)
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles J. Link Jr.
Officer — Chairman of the Board and CEO · Director
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 7:00 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 | Jan 2, 2018 | F | 8,939 | $8.47 | D | 265,383 | D | |
| Common StockF4,F2,F3 | Jan 4, 2018 | F | 5,541 | $10.06 | D | 259,842 | D | |
| Common Stock | holding | — | — | — | 25,000 | I | By Spouse | |
| Common Stock | holding | — | — | — | 139 | I | By Spouse's IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 17,000 previously reported restricted stock units ("RSUs") granted to the Reporting Person.
- F2Includes 11,250 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, 2019, 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 23,320 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 4, 2019, 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.
- F4Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 11,660 previously reported RSUs granted to the Reporting Person.