0001209191-22-046487.txt : 20220817 0001209191-22-046487.hdr.sgml : 20220817 20220817194013 ACCESSION NUMBER: 0001209191-22-046487 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220815 FILED AS OF DATE: 20220817 DATE AS OF CHANGE: 20220817 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thomsen Jillian B. CENTRAL INDEX KEY: 0001433457 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24006 FILM NUMBER: 221175946 MAIL ADDRESS: STREET 1: C/O NEKTAR THERAPEUTICS STREET 2: 201 INDUSTRIAL ROAD CITY: SAN CARLOS STATE: CA ZIP: 94070 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-08-15 0 0000906709 NEKTAR THERAPEUTICS NKTR 0001433457 Thomsen Jillian B. C/O NEKTAR THERAPEUTICS 455 MISSION BAY BOULEVARD SOUTH SAN FRANCISCO CA 94158 0 1 0 0 SVP & Chief Accounting Officer Common Stock 2022-08-15 4 A 0 165938 0.00 A 336865 D Common Stock 2022-08-16 4 S 0 2006 4.76 D 334859 D Common Stock 4.91 2022-08-15 4 A 0 331875 0.00 A 2030-08-14 Common Stock 331875 331875 D Common stock was acquired pursuant to a grant of restricted stock units ("RSU"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of Common Stock of the Issuer. These RSUs were granted in connection with a retention program and the individual's recent promotion. This grant is in lieu of Issuer's usual end-of-year annual performance grants. These RSUs vest over three years from the date of grant in substantially equal quarterly installments based on continued service. This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. This transaction was executed in multiple trades at prices ranging from $4.67 to $4.88. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the Issuer, or a security holder of the Issuer. Stock options were granted in connection with a retention program and the individual's recent promotion. These stock options are in lieu of the Issuer's usual end-of-year annual performance grants. Stock options vest over three years from the date of grant in substantially equal monthly installments based on continued service. Mark A. Wilson 2022-08-17