NEWLINK GENETICS CORP 4
4 · NEWLINK GENETICS CORP · Filed Feb 6, 2014
Insider Transaction Report
Form 4
NEWLINK GENETICS CORP(NLNK)
LINK GORDON H JR
Chief Financial Officer
Transactions
- Sale
Common Stock
2014-02-04$36.74/sh−400$14,696→ 16,413 total - Sale
Common Stock
2014-02-04$37.44/sh−100$3,744→ 16,313 total - Exercise/Conversion
Stock Option (Right to Buy)
2014-02-04−500→ 64,739 totalExercise: $2.10Exp: 2018-08-05→ Common Stock (500 underlying) - Exercise/Conversion
Common Stock
2014-02-04$2.10/sh+500$1,050→ 16,813 total
Footnotes (5)
- [F1]Includes 5,700 restricted stock units ("RSUs") previously reported as holdings of the Reporting Person granted under the Issuer's 2009 Equity Incentive Plan (the "Plan"). The RSUs will vest, and shares will be delivered to the Reporting Person in a series of four successive annual installments beginning on January 2, 2015, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.
- [F2]Includes 2,100 shares acquired under the NewLink Genetics Corporation 2010 Employee Stock Purchase Plan on June 28, 2013.
- [F3]The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on 7/29/2013.
- [F4]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.05 to $37.02, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote to this Form 4.
- [F5]1/4th of the shares vest on August 4, 2009, which is one year after the vesting commencement date. 1/48th of the shares vest monthly thereafter over the next three years.