SEC Form 4 · accession 0001126234-18-000153
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
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 4:47 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 | Dec 12, 2018 | M | 2,564 | $0.80 | A | 262,406 | D | |
| Common Stock | holding | — | — | — | 25,000 | I | By Spouse | |
| Common Stock | holding | — | — | — | 139 | I | By Spouse's IRA |
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) | $0.80 | Dec 12, 2018 | M | 2,564 | D | Jan 1, 2010 | Jan 20, 2019 | Common Stock | 2,564 | 0 | D |
Explanation of responses
- F1Includes 11,250 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, 2019, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.
- F2Includes 23,320 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 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.