SEC Form 4 · accession 0001209191-16-137609
NEKTAR THERAPEUTICS · NKTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maninder Hora
Officer — SVP Pharma Dev & Mfg Ops
Period of report
Aug 16, 2016
Accepted (ET)
Aug 17, 2016 · 5:38 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,F2,F3 | Aug 16, 2016 | S | 3,305 | $17.56 | D | 51,997 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $17.47 to $17.67. 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.
- F2The total holdings include the remaining portion of the 26,000 shares of restricted stock units ("RSUs") that were previously reported in Table II for the reporting person and which are being reclassified to Table I. These RSUs were granted on December 15, 2015, are convertible on a one-for-one basis into shares of Common Stock of the Company, and vest on a quarterly pro-rata basis over a period of three (3) years from the date of grant.
- F3This number includes 5,000 shares held by the reporting person in his account under the Issuer's ESPP. The acquisition of these shares under that plan is exempt under Rule 16b-3(c).