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NEKTAR THERAPEUTICS — Director's Dealing 2019
Oct 2, 2019
32134_dirs_2019-10-01_88b29306-08f3-4c6e-bfac-2c941cc9c20e.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: NEKTAR THERAPEUTICS (NKTR)
CIK: 0000906709
Period of Report: 2019-10-01
Reporting Person: Zalevsky Jonathan (Chief R&D Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 220657 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option | $12.61 | 2023-07-30 | Common Stock (21875) | Direct | |
| Stock Option | $15.55 | 2023-12-14 | Common Stock (29688) | Direct | |
| Stock Option | $15.44 | 2024-05-30 | Common Stock (37500) | Direct | |
| Stock Option | $13.93 | 2024-11-14 | Common Stock (46875) | Direct | |
| Stock Option | $12.24 | 2024-12-12 | Common Stock (15500) | Direct | |
| Stock Option | $15.71 | 2025-03-15 | Common Stock (21250) | Direct | |
| Stock Option | $18.59 | 2025-04-17 | Common Stock (36459) | Direct | |
| Stock Option | $18.09 | 2025-06-14 | Common Stock (77084) | Direct | |
| Stock Option | $43.07 | 2025-11-14 | Common Stock (87500) | Direct | |
| Stock Option | $56.90 | 2025-12-14 | Common Stock (37625) | Direct | |
| Stock Option | $36.51 | 2026-12-13 | Common Stock (48400) | Direct |
Footnotes
F1: Represents 220,657 restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock.
F2: As of October 1, 2019, 25,000 shares subject to this stock option are vested and exercisable. The remaining 4,688 shares subject to the stock option shall vest and become exercisable in substantially equal monthly installments on the 15th day of each calendar month until December 15, 2019 based on continued service.
F3: As of October 1, 2019, 25,000 shares subject to this stock option are vested and exercisable. The remaining 12,500 shares subject to this stock option shall vest and become exercisable in substantially equal monthly installments on the 31st day of each calendar month (or if there is no corresponding day in any such month, on the last day of such month) until May 31, 2020 based on continued service.
F4: As of October 1, 2019, 25,000 shares subject to this stock option are vested and exercisable. The remaining 21,875 shares subject to this stock option shall vest and become exercisable in substantially equal monthly installments on the 15th day of each calendar month until November 15, 2020 based on continued service.
F5: As of October 1, 2019, 8,000 shares subject to this stock option are vested and exercisable. The remaining 7,500 shares subject to this stock option shall vest and become exercisable in substantially equal monthly installments on the 13th day of each calendar month until December 13, 2020 based on continued service.
F6: As of October 1, 2019, 10,000 shares subject to this stock option are vested and exercisable. The remaining 11,250 shares subject to this stock option shall vest and become exercisable in substantially equal monthly installments on the 16th day of each calendar month until March 16, 2021 based on continued service.
F7: As of October 1, 2019, 16,667 shares subject to this stock option are vested and exercisable. The remaining 19,792 shares subject to this stock option shall vest and become exercisable in substantially equal monthly installments on the 18th day of each calendar month until April 18, 2021 based on continued service.
F8: As of October 1, 2019, 33,334 shares subject to this stock option are vested and exercisable. The remaining 43,750 shares subject to this stock option shall vest and become exercisable in substantially equal monthly installments on the 15th day of each calendar month until June 15, 2021 based on continued service.
F9: As of October 1, 2019, 33,333 shares subject to this stock option are vested and exercisable. The remaining 54,167 shares subject to this stock option shall vest and become exercisable in substantially equal monthly installments on the 15th day of each calendar month until November 15, 2021 based on continued service.
F10: As of October 1, 2019, 14,000 shares subject to this stock option are vested and exercisable. The remaining 23,625 shares subject to this stock option shall vest and become exercisable in substantially equal monthly installments on the 15th day of each calendar month until December 15, 2021 based on continued service.
F11: As of October 1, 2019, 9,075 shares subject to this stock option are vested and exercisable. The remaining 39,325 shares subject to this stock option shall vest and become exercisable in substantially equal monthly installments on the 14th day of each calendar month until December 14, 2022 based on continued service.