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NEKTAR THERAPEUTICS — Director's Dealing 2021
Sep 11, 2021
32134_dirs_2021-09-10_f481c080-622d-44c8-958e-d8d938c65e6f.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: 2021-09-08
Reporting Person: CHESS ROBERT (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-09-08 | Common Stock | M | 8000 | $13.80 | Acquired | 282273 | Direct |
| 2021-09-08 | Common Stock | S | 8000 | $16.00 | Disposed | 274273 | Direct |
| 2021-09-09 | Common Stock | M | 10279 | $13.80 | Acquired | 284552 | Direct |
| 2021-09-09 | Common Stock | S | 10279 | $16.02 | Disposed | 274273 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-09-08 | Common Stock | $13.80 | M | 8000 | Disposed | 2021-09-18 | Common Stock (8000) | Direct |
| 2021-09-09 | Common Stock | $13.80 | M | 10279 | Disposed | 2021-09-18 | Common Stock (10279) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2100 | Indirect |
| Common Stock | 2100 | Indirect |
| Common Stock | 2100 | Indirect |
Footnotes
F1: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on September 18, 2021.
F2: This transaction was executed in multiple trades at prices ranging from $15.85 to $16.14. 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 $15.76 to $16.26. 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: The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.