SEC Form 4 · accession 0001209191-16-142913
NEKTAR THERAPEUTICS · NKTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roy A Whitfield
Director
Period of report
Sep 23, 2016
Accepted (ET)
Sep 27, 2016 · 5:09 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 | Sep 23, 2016 | M | 15,000 | $5.15 | A | 53,000 | D | |
| Common Stock | Sep 23, 2016 | M | 1,000 | $8.37 | A | 54,000 | D | |
| Common Stock | Sep 23, 2016 | M | 30,000 | $5.14 | A | 84,000 | D | |
| Common Stock | holding | — | — | — | 20,000 | I | by Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $5.15 | Sep 23, 2016 | M | 15,000 | D | Sep 30, 2009 | Dec 1, 2016 | Common Stock | 15,000 | 0 | D |
| Stock Option | $8.37 | Sep 23, 2016 | M | 1,000 | D | Sep 15, 2010 | Sep 14, 2017 | Common Stock | 1,000 | 14,000 | D |
| Stock Option | $5.14 | Sep 23, 2016 | M | 30,000 | D | Sep 30, 2012 | Sep 12, 2019 | Common Stock | 30,000 | 0 | D |