0001126234-19-000110.txt : 20190802
0001126234-19-000110.hdr.sgml : 20190802
20190802184123
ACCESSION NUMBER: 0001126234-19-000110
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: JOHNSON CHAD ALLEN
CENTRAL INDEX KEY: 0001734108
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35342
FILM NUMBER: 19997234
MAIL ADDRESS:
STREET 1: C/O NEWLINK GENETICS CORPORATION
STREET 2: 2503 SOUTH LOOP DRIVE
CITY: AMES
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_156478566794910.xml
FORM 4
X0306
4
2019-07-31
0
0001126234
NEWLINK GENETICS CORP
(NLNK)
0001734108
JOHNSON CHAD ALLEN
2503 SOUTH LOOP DRIVE
SUITE 5100
AMES
IA
50010
1
0
0
0
Stock Option (Right to Buy)
7.07
2019-07-31
4
D
0
48324
D
2019-03-19
2028-03-18
Common Stock
48324.0
0
D
Stock Option (Right to Buy)
1.77
2019-07-31
4
A
0
10739
A
2026-07-31
Common Stock
10739.0
10739
D
Stock Option (Right to Buy)
1.77
2019-07-31
4
A
0
13424
A
2026-07-31
Common Stock
13424.0
13424
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.
This option vests as to 50% on the second anniversary of grant date and the remaining 50% on the third anniversary of grant date.
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.
/s/ Ryan Trytten, attorney-in-fact
2019-08-02