SEC Form 4 · accession 0001126234-18-000110

NEWLINK GENETICS CORP · (NLNK)

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

Reporting owner

Director

Period of report

Jul 10, 2018

Accepted (ET)

Jul 12, 2018 · 4:21 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	Nature of ownership
Common Stock	Jul 10, 2018	M	7,142	$2.10	A	39,365	D
Common Stock	Jul 10, 2018	M	3,571	$2.10	A	42,936	D
Common Stock	Jul 10, 2018	M	3,093	$2.10	A	46,029	D
Common Stock^F1	Jul 10, 2018	S	13,806	$4.824	D	32,223	D
Common Stock^F2	holding	—	—		—	1,737	I	-
Common Stock	holding	—	—		—	1,564	I	By son's trust
Common Stock	holding	—	—		—	1,564	I	By daughter's trust
Common Stock^F3	holding	—	—		—	977	I	-

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Stock Option (Right to Buy)^F4	$2.10	Jul 10, 2018	M	7,142	D	Feb 1, 2007	Aug 5, 2018	Common Stock	7,142	D
Stock Option (Right to Buy)^F4	$2.10	Jul 10, 2018	M	3,571	D	Jun 9, 2003	Jul 15, 2018	Common Stock	3,571	D
Stock Option (Right to Buy)^F4	$2.10	Jul 10, 2018	M	3,093	D	Jan 30, 2004	Jul 15, 2018	Common Stock	3,093	D

F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.79 to $4.875, 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.
F2These shares are held by the spouse of the Reporting Person in a Roth IRA account.
F3These shares are held by the Reporting Person in a Roth IRA account.
F4Grant to the Reporting Person of a stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). The option is fully vested.