SEC Form 4/A · accession 0001209191-16-091745
NEKTAR THERAPEUTICS · NKTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ivan P. Gergel
Officer — SVP & Chief Medical Officer
Period of report
Dec 15, 2015
Accepted (ET)
Jan 15, 2016 · 4:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000906709
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | — | Dec 15, 2015 | A | 15,000 | A | — | Dec 14, 2023 | Common Stock | 15,000 | 15,000 | D |
| Stock OptionF3 | $15.55 | Dec 15, 2015 | A | 12,500 | A | — | Dec 14, 2023 | Common Stock | 12,500 | 12,500 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock.
- F2This restricted stock unit vests over 3 years in equal quarterly installments.
- F3This stock option vests in equal monthly installments over the 4-year period following the grant date.