0001209191-16-142019.txt : 20160919 0001209191-16-142019.hdr.sgml : 20160919 20160919171316 ACCESSION NUMBER: 0001209191-16-142019 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160915 FILED AS OF DATE: 20160919 DATE AS OF CHANGE: 20160919 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEKTAR THERAPEUTICS CENTRAL INDEX KEY: 0000906709 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943134940 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 455 MISSION BAY BOULEVARD SOUTH CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 4154825300 MAIL ADDRESS: STREET 1: 455 MISSION BAY BOULEVARD SOUTH CITY: SAN FRANCISCO STATE: CA ZIP: 94158 FORMER COMPANY: FORMER CONFORMED NAME: INHALE THERAPEUTIC SYSTEMS INC DATE OF NAME CHANGE: 19980723 FORMER COMPANY: FORMER CONFORMED NAME: INHALE THERAPEUTIC SYSTEMS DATE OF NAME CHANGE: 19940303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHESS ROBERT CENTRAL INDEX KEY: 0001227886 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24006 FILM NUMBER: 161892404 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-09-15 0 0000906709 NEKTAR THERAPEUTICS NKTR 0001227886 CHESS ROBERT C/O NEKTAR THERAPEUTICS 455 MISSION BAY BOULEVARD SOUTH SAN FRANCISCO CA 94158 1 0 0 0 Common Stock 2016-09-15 4 S 0 12000 19.21 D 248623 D Common Stock 2016-09-15 4 M 0 15000 0.00 A 263623 D Restricted Stock Unit 2016-09-15 4 M 0 15000 0.00 D Common Stock 15000 0 D This transaction was made pursuant to a Rule 10b5-1 trading plan. This transaction was executed in multiple trades at prices ranging from $18.97 to $19.35. 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. This number includes 4,914 shares held by the reporting person in the Issuer's 401(k) plan. The acquisition of these shares under that plan is exempt under Rule 16b-3(c). Represents restricted stock units ("RSU"), convertible on a one-for-one basis into shares of Common Stock of the Company. These RSUs, at the time of their grant on September 15, 2015, vested in full one year following the grant date. The total holdings 15,000 shares of restricted stock units ("RSUs") that were previously reported in Table II for the reporting person and which are being reclassified to Table I. These RSUs were granted on September 15, 2015, are convertible on a one-for-one basis into shares of Common Stock of the Company, and vested on September 15, 2016. Gilbert M. Labrucherie, Jr., Attorney-in-Fact 2016-09-19