Nkarta, Inc. — Director's Dealing 2020

Jul 10, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Nkarta, Inc. (NKTX)
CIK: 0001787400
Period of Report: 2020-07-09

Reporting Person: George Simeon (Director)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A Preferred Stock	$		Common Stock (525499)		Indirect
Series B Preferred Stock	$		Common Stock (1712810)		Indirect

Footnotes

F1: The Series A Preferred Stock is convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F2: The Series B Preferred Stock is convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series B Preferred Stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F3: Gives effect to the one-for-3.7 reverse stock split of the Issuer's common stock and a proportional adjustment to the conversion ratio of the Series A Preferred Stock and Series B Preferred Stock effective on July 1, 2020.

F4: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is the Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.