0001126234-19-000099.txt : 20190802 0001126234-19-000099.hdr.sgml : 20190802 20190802183730 ACCESSION NUMBER: 0001126234-19-000099 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190731 FILED AS OF DATE: 20190802 DATE AS OF CHANGE: 20190802 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Raffin Thomas A. CENTRAL INDEX KEY: 0001512119 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35342 FILM NUMBER: 19997212 MAIL ADDRESS: STREET 1: C/O NEWLINK GENETICS CORP. STREET 2: 2503 SOUTH LOOP DR., SUITE 5100 CITY: AIMES STATE: IA ZIP: 50010 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_156478543324927.xml FORM 4 X0306 4 2019-07-31 0 0001126234 NEWLINK GENETICS CORP (NLNK) 0001512119 Raffin Thomas A. C/O NEWLINK GENETICS CORPORATION 2503 SOUTH LOOP DR., SUITE 5100 AMES IA 50010 1 0 0 0 Stock Option (Right to Buy) 3.07 2019-07-31 4 D 0 26190 D 2011-03-03 2020-03-02 Common Stock 26190.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 13095 A 2026-07-31 Common Stock 13095.0 13095 D Stock Option (Right to Buy) 10.02 2019-07-31 4 D 0 17857 D 2012-01-01 2020-12-08 Common Stock 17857.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 8929 A 2026-07-31 Common Stock 8929.0 8929 D Stock Option (Right to Buy) 7.0 2019-07-31 4 D 0 3571 D 2011-12-09 2021-11-09 Common Stock 3571.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 1786 A 2026-07-31 Common Stock 1786.0 1786 D Stock Option (Right to Buy) 7.0 2019-07-31 4 D 0 47619 D 2011-11-10 2021-11-09 Common Stock 47619.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 23810 A 2026-07-31 Common Stock 23810.0 23810 D Stock Option (Right to Buy) 13.3 2019-07-31 4 D 0 17855 D 2022-11-01 Common Stock 17855.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 5952 A 2026-07-31 Common Stock 5952.0 5952 D Stock Option (Right to Buy) 14.71 2019-07-31 4 D 0 12000 D 2023-05-08 Common Stock 12000.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 4000 A 2026-07-31 Common Stock 4000.0 4000 D Stock Option (Right to Buy) 21.23 2019-07-31 4 D 0 15659 D 2024-04-30 Common Stock 15659.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 5220 A 2026-07-31 Common Stock 5220.0 5220 D Stock Option (Right to Buy) 44.6 2019-07-31 4 D 0 6349 D 2025-04-29 Common Stock 6349.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 1588 A 2026-07-31 Common Stock 1588.0 1588 D Stock Option (Right to Buy) 10.78 2019-07-31 4 D 0 17774 D 2026-08-08 Common Stock 17774.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 8887 A 2026-07-31 Common Stock 8887.0 8887 D Stock Option (Right to Buy) 10.78 2019-07-31 4 D 0 4782 D 2026-08-08 Common Stock 4782.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 2391 A 2026-07-31 Common Stock 2391.0 2391 D Stock Option (Right to Buy) 17.42 2019-07-31 4 D 0 13309 D 2027-05-11 Common Stock 13309.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 4437 A 2026-07-31 Common Stock 4437.0 4437 D Stock Option (Right to Buy) 5.33 2019-07-31 4 D 0 27777 D 2028-05-22 Common Stock 27777.0 0 D Stock Option (Right to Buy) 1.77 2019-07-31 4 A 0 13889 A 2026-07-31 Common Stock 13889.0 13889 D On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date. The option provided that 50% of the option vested on November 2, 2013 and the remaining 50% of such option vested in equal monthly installments over the next 12 months, provided (i) that the option shall vest in full on the date of the Annual Meeting held two years after the date of grant and (ii) 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. On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. The option provided that one hundred percent (100%) of the shares would vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every four cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. /s/ Ryan Trytten, attorney-in-fact 2019-08-02