0001126234-17-000010.txt : 20170105 0001126234-17-000010.hdr.sgml : 20170105 20170105182918 ACCESSION NUMBER: 0001126234-17-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170103 FILED AS OF DATE: 20170105 DATE AS OF CHANGE: 20170105 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: 17512314 MAIL ADDRESS: STREET 1: 311 C ENTERPRISE DRIVE CITY: PLAINSBORO STATE: NJ ZIP: 08536 4 1 wf-form4_148365894486994.xml FORM 4 X0306 4 2017-01-03 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 2017-01-03 4 F 0 164 10.28 D 59935 D Common Stock 2017-01-04 4 F 0 1323 11.04 D 58612 D Stock Option (Right to Buy) 10.55 2017-01-03 4 A 0 137500 0 A Common Stock 137500.0 137500 D Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 500 previously reported restricted stock units ("RSUs") granted to the Reporting Person. Includes 20,395 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 two successive annual installments with the next installment occurring on October 1, 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 1,000 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 two successive annual installments with the next installment occurring on January 2, 2018, 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 12,151 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 4, 2018, 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 withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 4,050 previously reported RSUs granted to the Reporting Person. Grant to the Reporting Person of a stock option under the Plan on January 3, 2017 (the "Date of Grant"). 50% of the option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on February 3, 2017, 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. The remaining 50% of the stock options vest and become exercisable as follows: (i) 12.50% upon completion of current planned Phase 1 equivalency study of new Indoximod salt formulation with "completion" measured by the last patient enrolled in such study, (ii) 12.50% upon completion of the current planned Phase 1 study of pro-Indoximod new chemical entity with "completion" measured by the last patient enrolled in such study, (iii) 12.50% upon an increase of closing share price on Nasdaq Stock Market ("Nasdaq") by at least 33% above exercise price of the options when measured over 30 consecutive calendar days, provided such increase occurs within four years of Date of Grant, otherwise such options shall be cancelled, and (iv)12.50% upon an increase of closing share price on Nasdaq by at least 50% above exercise price of the options when measured over 30 consecutive calendar days provided such increase occurs within four years of Date of Grant, otherwise such options shall be cancelled. Unless otherwise disclosed, the option expires ten years after the Date of Grant. /s/ Ryan Trytten, attorney-in-fact 2017-01-05