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NEKTAR THERAPEUTICS — Director's Dealing 2015
Aug 13, 2015
32134_dirs_2015-08-13_85d4a2dc-d7b3-43b4-ab9c-e1f21882e4c4.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NEKTAR THERAPEUTICS (NKTR)
CIK: 0000906709
Period of Report: 2015-08-11
Reporting Person: Nicholson John (SVP & Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-08-11 | Common Stock | M | 154908 | $8.87 | Acquired | 164908 | Direct |
| 2015-08-11 | Common Stock | S | 154908 | $10.99 | Disposed | 10000 | Direct |
| 2015-08-11 | Common Stock | M | 95000 | $6.98 | Acquired | 105000 | Direct |
| 2015-08-11 | Common Stock | S | 95000 | $10.67 | Disposed | 10000 | Direct |
| 2015-08-11 | Common Stock | M | 45092 | $8.87 | Acquired | 55092 | Direct |
| 2015-08-12 | Common Stock | M | 5000 | $6.98 | Acquired | 60092 | Direct |
| 2015-08-12 | Common Stock | S | 3976 | $10.64 | Disposed | 56116 | Direct |
| 2015-08-12 | Common Stock | M | 85000 | $6.46 | Acquired | 141116 | Direct |
| 2015-08-12 | Common Stock | S | 66000 | $10.47 | Disposed | 75116 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-08-11 | Stock Option | $8.87 | M | 154908 | Disposed | 2015-10-01 | Common Stock (154908) | Direct |
| 2015-08-11 | Stock Option | $6.98 | M | 95000 | Disposed | 2015-12-20 | Common Stock (95000) | Direct |
| 2015-08-11 | Stock Option | $8.87 | M | 45092 | Disposed | 2015-10-01 | Common Stock (45092) | Direct |
| 2015-08-12 | Stock Option | $6.98 | M | 5000 | Disposed | 2015-12-20 | Common Stock (5000) | Direct |
| 2015-08-12 | Stock Option | $6.46 | M | 85000 | Disposed | 2016-02-24 | Common Stock (85000) | Direct |
Footnotes
F1: This transaction was made pursuant to a Rule 10b5-1 trading plan for stock options scheduled to expire in the near term.
F2: This transaction was executed in multiple trades at prices ranging from $10.76 to $11.32. 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.
F3: This transaction was executed in multiple trades at prices ranging from $10.62 to $10.77. 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.
F4: This transaction was executed in multiple trades at prices ranging from $10.62 to $10.67. 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.
F5: This transaction was executed in multiple trades at prices ranging from $10.40 to $10.68. 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.