SEC Form 4 · accession 0001209191-16-121365
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
May 16, 2016
Accepted (ET)
May 18, 2016 · 5:23 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 Stock | May 16, 2016 | M | 2,167 | $0.0001 | A | 78,486 | D | |
| Common StockF1 | May 17, 2016 | S | 856 | $13.58 | D | 77,630 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit | $0.0001 | May 16, 2016 | D | 2,167 | D | May 16, 2016 | May 16, 2016 | Common Stock | 2,167 | 21,667 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $13.27 to $13.92. 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.