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