0001126234-17-000087.txt : 20171002 0001126234-17-000087.hdr.sgml : 20171002 20171002070830 ACCESSION NUMBER: 0001126234-17-000087 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171001 FILED AS OF DATE: 20171002 DATE AS OF CHANGE: 20171002 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: 171113041 MAIL ADDRESS: STREET 1: 311 C ENTERPRISE DRIVE CITY: PLAINSBORO STATE: NJ ZIP: 08536 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 4 1 wf-form4_150694249547449.xml FORM 4 X0306 4 2017-10-01 0 0001126234 NEWLINK GENETICS CORP (NLNK) 0001187572 HENNEMAN JOHN B III C/O NEWLINK GENETICS CORPORATION 2801 VIA FORTUNA, SUITE 520 AUSTIN TX 78746 0 1 0 0 EVP, Chief Financial Officer Common Stock 2017-10-01 4 F 0 2789 10.18 D 56544 D Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 10,197 previously reported restricted stock units ("RSUs") granted to the Reporting Person. Includes 10,198 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 one installment on October 1, 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 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. /s/ Ryan Trytten, attorney-in-fact 2017-10-02