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