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NEKTAR THERAPEUTICS — Director's Dealing 2018
Apr 10, 2018
32134_dirs_2018-04-09_77e096e1-087b-48a4-b313-9322703993df.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: 2018-04-06
Reporting Person: Doberstein Stephen K (SVP & Chief Scientific Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-04-06 | Common Stock | M | 60000 | $10.69 | Acquired | 127394 | Direct |
| 2018-04-06 | Common Stock | M | 50000 | $7.21 | Acquired | 177394 | Direct |
| 2018-04-06 | Common Stock | M | 500 | $7.21 | Acquired | 177894 | Direct |
| 2018-04-06 | Common Stock | S | 110500 | $91.69 | Disposed | 67394 | Direct |
| 2018-04-09 | Common Stock | M | 49500 | $7.21 | Acquired | 116894 | Direct |
| 2018-04-09 | Common Stock | S | 49500 | $96.13 | Disposed | 67394 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-04-06 | Stock Option | $10.69 | M | 60000 | Disposed | 2019-02-07 | Common Stock (60000) | Direct |
| 2018-04-06 | Stock Option | $7.21 | M | 50000 | Disposed | 2020-02-07 | Common Stock (50000) | Direct |
| 2018-04-06 | Stock Option | $7.21 | M | 500 | Disposed | 2020-02-07 | Common Stock (500) | Direct |
| 2018-04-09 | Stock Option | $7.21 | M | 49500 | Disposed | 2020-02-07 | Common Stock (49500) | Direct |
Footnotes
F1: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F2: This transaction was executed in multiple trades at prices ranging from $89.98 to $94.99. 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 $94.99 to $96.75. 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.