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