0001126234-16-000211.txt : 20160106
0001126234-16-000211.hdr.sgml : 20160106
20160106185153
ACCESSION NUMBER: 0001126234-16-000211
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160104
FILED AS OF DATE: 20160106
DATE AS OF CHANGE: 20160106
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NEWLINK GENETICS CORP
CENTRAL INDEX KEY: 0001126234
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 421491350
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2503 SOUTH LOOP DRIVE
STREET 2: SUITE 5100
CITY: AMES
STATE: IA
ZIP: 50010
BUSINESS PHONE: 515-296-5555
MAIL ADDRESS:
STREET 1: 2503 SOUTH LOOP DRIVE
STREET 2: SUITE 5100
CITY: AMES
STATE: IA
ZIP: 50010
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HENNEMAN JOHN B III
CENTRAL INDEX KEY: 0001187572
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35342
FILM NUMBER: 161328362
MAIL ADDRESS:
STREET 1: 311 C ENTERPRISE DRIVE
CITY: PLAINSBORO
STATE: NJ
ZIP: 08536
4
1
wf-form4_145212430265812.xml
FORM 4
X0306
4
2016-01-04
0
0001126234
NEWLINK GENETICS CORP
(NLNK)
0001187572
HENNEMAN JOHN B III
C/O NEWLINK GENETICS CORPORATION
2700 VIA FORTUNA, SUITE 100
AUSTIN
TX
78746
0
1
0
0
EVP, Chief Financial Officer
Common Stock
2016-01-04
4
A
0
16201
0
A
62491
D
Common Stock
2016-01-05
4
S
0
175
35.74
D
62316
D
Stock Option (Right to Buy)
34.73
2016-01-04
4
A
0
46351
0
A
2026-01-03
Common Stock
46351.0
46351
D
This Form 4 does not include 9,819 performance-based restricted stock units granted on January 4, 2016. These shares will be reported on subsequent Form 4's if and when the performance criteria are met.
Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on January 4, 2017, 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.
Includes 1,500 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on January 2, 2017, 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.
Includes 30,592 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on October 1, 2016, 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.
Represents shares of Common Stock sold to cover tax obligations associated with the vesting of previously reported RSUs pursuant to a plan previously implemented with a third party broker and approved by the Issuer's board of directors to offset the cost associated with taxes.
Grant to the Reporting Person of a stock option under the Plan. The option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on February 4, 2016, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. The option expires ten years after the date of grant.
/s/ Ryan Trytten, attorney-in-fact
2016-01-06