SEC Form 4 · accession 0001209191-16-155522
NEKTAR THERAPEUTICS · NKTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jillian B. Thomsen
Officer — SVP & Chief Accounting Officer
Period of report
Dec 13, 2016
Accepted (ET)
Dec 15, 2016 · 8:47 pm EST
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 | Dec 13, 2016 | A | 15,000 | $0.00 | A | 57,602 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $12.24 | Dec 13, 2016 | A | 37,500 | A | — | Dec 12, 2024 | Common Stock | 37,500 | 37,500 | D |
Explanation of responses
- F1This stock award was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. These RSUs vest over three years in equal quarterly installments based on continued service.
- F2This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 2,750 shares held by the reporting person from the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).
- F3This stock option vests over four years in equal monthly installments based on continued service.