SEC Form 4 · accession 0001209191-17-045121
NEKTAR THERAPEUTICS · NKTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ivan P. Gergel
Officer — SVP & Chief Medical Officer
Period of report
Jul 11, 2017
Accepted (ET)
Jul 13, 2017 · 8:01 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 | Jul 11, 2017 | M | 8,389 | $11.04 | A | 51,961 | D | |
| Common StockF1,F2 | Jul 11, 2017 | S | 8,389 | $21.04 | D | 43,572 | D | |
| Common StockF1 | Jul 12, 2017 | M | 36,691 | $11.04 | A | 80,263 | D | |
| Common StockF1,F3 | Jul 12, 2017 | S | 36,691 | $21.09 | D | 43,572 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $11.04 | Jul 11, 2017 | M | 8,389 | D | May 19, 2015 | May 18, 2022 | Common Stock | 8,389 | 505,363 | D |
| Stock OptionF1 | $11.04 | Jul 12, 2017 | M | 36,691 | D | May 19, 2015 | May 18, 2022 | Common Stock | 36,691 | 468,672 | D |
Explanation of responses
- F1This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2This transaction was executed in multiple trades at prices ranging from $21.04 to $21.05. 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.
- F3This transaction was executed in multiple trades at prices ranging from $21.04 to $21.19. 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.