0001387131-20-006467.txt : 20200716 0001387131-20-006467.hdr.sgml : 20200716 20200716201338 ACCESSION NUMBER: 0001387131-20-006467 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200714 FILED AS OF DATE: 20200716 DATE AS OF CHANGE: 20200716 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GLAXOSMITHKLINE PLC CENTRAL INDEX KEY: 0001131399 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] STATE OF INCORPORATION: X0 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39370 FILM NUMBER: 201032527 BUSINESS ADDRESS: STREET 1: 980 GREAT WEST ROAD CITY: BRENTFORD MIDDLESEX STATE: X0 ZIP: TW8 9GS BUSINESS PHONE: 011442080475000 MAIL ADDRESS: STREET 1: 980 GREAT WEST ROAD CITY: BRENTFORD MIDDLESEX STATE: X0 ZIP: TW8 9GS ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Nkarta, Inc. CENTRAL INDEX KEY: 0001787400 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 474515206 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6000 SHORELINE COURT STREET 2: SUITE 102 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-215-0385 MAIL ADDRESS: STREET 1: 6000 SHORELINE COURT STREET 2: SUITE 102 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 ownership.xml OWNERSHIP DOCUMENT X0306 4 2020-07-14 0 0001787400 Nkarta, Inc. NKTX 0001131399 GLAXOSMITHKLINE PLC 980 GREAT WEST ROAD BRENTFORD MIDDLESEX X0 TW8 9GS UNITED KINGDOM 1 0 1 0 Common Stock 2020-07-14 4 C 0 79090 A 79090 I See Footnote Common Stock 2020-07-14 4 C 0 525499 A 604589 I See Footnote Common Stock 2020-07-14 4 C 0 1712810 A 2317399 I See Footnote Common Stock 2020-07-14 4 P 0 833333 18.00 A 3150732 I See Footnote Series A Preferred Stock 2020-07-14 4 C 0 292663 D Common Stock 79090 0 I See Footnote Series A Preferred Stock 2020-07-14 4 C 0 1994348 D Common Stock 525499 0 I See Footnote Series B Preferred Stock 2020-07-14 4 C 0 6337403 D Common Stock 1712810 0 I See Footnote Stock Option (right to buy) 18 2020-07-14 4 A 0 10700 0 A 2030-07-08 Common Stock 10700 10700 I See Footnote The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date. The shares reported herein are held by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date. S.R. One, Limited purchased 833,333 shares of Common Stock of Nkarta, Inc. (the "Issuer") in connection with the Issuer's public offering. The stock option was granted to Simeon J. George as director's compensation and it vests 100% on the first anniversary of July 9, 2020, or, if earlier, on the day immediately preceding the first annual meeting of the Issuer's stockholders in 2021 at which one or more members of the Issuer's board of directors are to be elected. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Simeon George's separation from service with the Issuer due to death or "disability" (as described in the applicable award agreement). (continued from footnote 6) As Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, Simeon J. George is obligated to transfer any shares issued under the stock option to S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. /s/ Victoria Whyte 2020-07-16