SEC Form 4 · accession 0001209191-15-065872
NEKTAR THERAPEUTICS · NKTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Nicholson
Officer — SVP & Chief Financial Officer
Period of report
Aug 11, 2015
Accepted (ET)
Aug 13, 2015 · 5:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000906709
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 11, 2015 | M | 154,908 | $8.87 | A | 164,908 | D | |
| Common StockF1,F2 | Aug 11, 2015 | S | 154,908 | $10.99 | D | 10,000 | D | |
| Common StockF1 | Aug 11, 2015 | M | 95,000 | $6.98 | A | 105,000 | D | |
| Common StockF1,F3 | Aug 11, 2015 | S | 95,000 | $10.67 | D | 10,000 | D | |
| Common StockF1 | Aug 11, 2015 | M | 45,092 | $8.87 | A | 55,092 | D | |
| Common StockF1 | Aug 12, 2015 | M | 5,000 | $6.98 | A | 60,092 | D | |
| Common StockF1,F4 | Aug 12, 2015 | S | 3,976 | $10.64 | D | 56,116 | D | |
| Common StockF1 | Aug 12, 2015 | M | 85,000 | $6.46 | A | 141,116 | D | |
| Common StockF1,F5 | Aug 12, 2015 | S | 66,000 | $10.47 | D | 75,116 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $8.87 | Aug 11, 2015 | M | 154,908 | D | Oct 2, 2011 | Oct 1, 2015 | Common Stock | 154,908 | 0 | D |
| Stock OptionF1 | $6.98 | Aug 11, 2015 | M | 95,000 | D | Dec 21, 2011 | Dec 20, 2015 | Common Stock | 95,000 | 5,000 | D |
| Stock OptionF1 | $8.87 | Aug 11, 2015 | M | 45,092 | D | Oct 2, 2011 | Oct 1, 2015 | Common Stock | 45,092 | 0 | D |
| Stock OptionF1 | $6.98 | Aug 12, 2015 | M | 5,000 | D | Dec 21, 2011 | Dec 20, 2015 | Common Stock | 5,000 | 0 | D |
| Stock OptionF1 | $6.46 | Aug 12, 2015 | M | 85,000 | D | Feb 25, 2012 | Feb 24, 2016 | Common Stock | 85,000 | 0 | D |
Explanation of responses
- F1This transaction was made pursuant to a Rule 10b5-1 trading plan for stock options scheduled to expire in the near term.
- F2This transaction was executed in multiple trades at prices ranging from $10.76 to $11.32. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
- F3This transaction was executed in multiple trades at prices ranging from $10.62 to $10.77. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
- F4This transaction was executed in multiple trades at prices ranging from $10.62 to $10.67. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
- F5This transaction was executed in multiple trades at prices ranging from $10.40 to $10.68. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.