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NEKTAR THERAPEUTICS — Director's Dealing 2021
Feb 5, 2021
32134_dirs_2021-02-04_8374210f-9680-4779-93f0-25cea12a069d.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: 2021-02-03
Reporting Person: Wilson Mark Andrew (SVP & General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-03 | Common Stock | M | 5344 | $8.80 | Disposed | 84244 | Direct |
| 2021-02-03 | Common Stock | S | 5344 | $19.45 | Disposed | 78900 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-03 | Stock Option | $8.80 | M | 5344 | Disposed | 2021-02-05 | Common Stock (5344) | Direct |
Footnotes
F1: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F2: This number includes 3,107 shares held by the reporting person in his account under the Issuer's ESPP Plan. The acquisition of these shares under that plan is exempt under Rule 16b-3(c).
F3: This transaction was executed in multiple trades at prices ranging from $19.30 to $19.60. 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.