0000899243-17-002871.txt : 20170206 0000899243-17-002871.hdr.sgml : 20170206 20170206172033 ACCESSION NUMBER: 0000899243-17-002871 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170202 FILED AS OF DATE: 20170206 DATE AS OF CHANGE: 20170206 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEKTAR THERAPEUTICS CENTRAL INDEX KEY: 0000906709 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943134940 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 455 MISSION BAY BOULEVARD SOUTH CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 4154825300 MAIL ADDRESS: STREET 1: 455 MISSION BAY BOULEVARD SOUTH CITY: SAN FRANCISCO STATE: CA ZIP: 94158 FORMER COMPANY: FORMER CONFORMED NAME: INHALE THERAPEUTIC SYSTEMS INC DATE OF NAME CHANGE: 19980723 FORMER COMPANY: FORMER CONFORMED NAME: INHALE THERAPEUTIC SYSTEMS DATE OF NAME CHANGE: 19940303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nicholson John CENTRAL INDEX KEY: 0001420766 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24006 FILM NUMBER: 17576473 MAIL ADDRESS: STREET 1: C/O NEKTAR THERAPEUTICS STREET 2: 201 INDUSTRIAL ROAD CITY: SAN CARLOS STATE: CA ZIP: 94070 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-02 0 0000906709 NEKTAR THERAPEUTICS NKTR 0001420766 Nicholson John C/O NEKTAR THERAPEUTICS 455 MISSION BAY BOULEVARD SOUTH SAN FRANCISCO CA 94158 0 1 0 0 SVP & Chief Operating Officer Common Stock 2017-02-02 4 M 0 66495 4.65 A 206821 D Common Stock 2017-02-02 4 S 0 66495 12.38 D 140326 D Common Stock 2017-02-03 4 M 0 8505 4.65 A 148831 D Common Stock 2017-02-03 4 S 0 8505 12.48 D 140326 D Employee Stock Option (right to buy) 4.65 2017-02-02 4 M 0 66495 0.00 D 2017-02-22 Common Stock 66495 53505 D Employee Stock Option (right to buy) 4.65 2017-02-03 4 M 0 8505 0.00 D 2017-02-22 Common Stock 8505 45000 D The Reporting Person exercised and sold a portion of the Shares of common stock subject to this stock option that expires on February 22, 2017, with the objective of using substantially all of the proceeds to cover the exercise price of the entire stock option and applicable withholding taxes. This price reflects the weighted average sale price for open-market sales of Shares made by the Reporting Person on February 2, 2017. The actual prices for these transactions range from $12.20 to $12.45, inclusive. The Reporting Person further undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4. This price reflects the weighted average sale price for open-market sales of Shares made by the Reporting Person on February 3, 2017. The actual prices for these transactions range from $12.45 to $12.51, inclusive. This stock option became fully vested on February 23, 2013 and will expire on February 22, 2017 if not exercised. Mark A. Wilson, Attorney-in-Fact 2017-02-06