SEC Form 4 · accession 0001209191-18-047854
NEKTAR THERAPEUTICS · NKTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis L Winger
Director
Period of report
Aug 17, 2018
Accepted (ET)
Aug 21, 2018 · 7:32 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 | Aug 17, 2018 | M | 15,000 | $14.26 | A | 57,750 | D | |
| Common StockF1,F2 | Aug 17, 2018 | S | 15,000 | $59.62 | D | 42,750 | D | |
| Common StockF1 | Aug 21, 2018 | M | 15,000 | $14.26 | A | 57,750 | D | |
| Common StockF1 | Aug 21, 2018 | S | 15,000 | $60.30 | D | 42,750 | D | |
| Common Stock | holding | — | — | — | 5,000 | 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 OptionF1 | $14.26 | Aug 17, 2018 | M | 15,000 | D | Sep 30, 2011 | Sep 14, 2018 | Common Stock | 15,000 | 15,000 | D |
| Stock OptionF1 | $14.26 | Aug 21, 2018 | M | 15,000 | D | Sep 30, 2011 | Sep 14, 2018 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1This transaction was made for stock options scheduled to expire on September 14, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $59.61 to $59.77. 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.