SEC Form 4 · accession 0001209191-18-057268
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
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 6:00 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 | Nov 1, 2018 | A | 90,000 | $0.00 | A | 161,265 | D |
Table II — derivative securities
No Table II lines on this filing.
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 quarterly in substantially equal installments on November 15, 2020, February 15, 2021, May 15, 2021, and August 15, 2021, based on the reporting person's continued service with the Company.
- F2This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,170 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).