o | Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. |
Delaware | 42-1491350 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
Securities registered pursuant to Section 12(b) of the Act: | Common Stock, par value $0.01 | |
Name of each exchange on which registered: | The Nasdaq Global Market | |
Securities registered pursuant to Section 12(g) of the Act: | None |
Large accelerated filer x | Accelerated filer o | |
Non-accelerated filer o | Smaller reporting company o | |
(Do not check if a smaller reporting company) |
Item 6. | Exhibits |
NEWLINK GENETICS CORPORATION | ||
By: | /s/ Charles J. Link, Jr. | |
Charles J. Link, Jr. | ||
Chief Executive Officer | ||
(Principal Executive Officer) | ||
Date: November 3, 2016 |
By: | /s/ John B. Henneman III | |
John B. Henneman III | ||
Chief Financial Officer And Secretary | ||
(Principal Financial Officer) | ||
Date: November 3, 2016 |
Incorporated By Reference | ||||||
Exhibit Number | Description | Form | Filing Date | Number | Filed Herewith | |
3.1 | ‡ | Amended and Restated Certificate of Incorporation filed on November 16, 2011 | 8-K | 11/18/2011 | 3.1 | |
3.2 | ‡ | Certificate of Amendment to Restated Certificate of Incorporation filed on May 10, 2013 | 8-K | 5/14/2013 | 3.1 | |
3.3 | ‡ | Amended and Restated Bylaws | 8-K | 11/18/2011 | 3.2 | |
4.1 | ‡ | Form of the Company’s Common Stock Certificate | S-1/A | 10/26/2011 | 4.1 | |
4.2 | ‡ | Reference is made to Exhibits 3.1, 3.2 and 3.3 hereof | ||||
4.3 | ‡ | Amended and Restated Investor Rights Agreement by and between the Company and certain holders of the Company’s capital stock dated as of December 1, 2010 | 10-Q | 5/10/2012 | 4.3 | |
10.1 | †‡ | 2015 Bonus Awards | 8-K | 1/7/2016 | 10.1 | |
10.2 | †‡ | 2016 Salaries, Bonus Targets and Equity Awards | 8-K | 1/7/2016 | 10.2 | |
10.3 | †‡ | Employment Agreement between the Company and Charles J. Link, Jr. dated as of January 4, 2016 | 8-K | 1/7/2016 | 10.3 | |
10.4 | †‡ | Employment Agreement between the Company and Nicholas N. Vahanian dated as of January 4, 2016 | 8-K | 1/7/2016 | 10.4 | |
10.5 | †‡ | Employment Agreement between the Company and John B. Henneman III dated as of January 4, 2016 | 8-K | 1/7/2016 | 10.5 | |
10.6 | †‡ | Employment Agreement between the Company and Carl Langren dated as of January 4, 2016 | 8-K | 1/7/2016 | 10.6 | |
10.7 | †‡ | Employment Agreement between the Company and Brian Wiley dated as of January 4, 2016 | 8-K | 1/7/2016 | 10.7 | |
10.8 | * | Sixth Amendment to License Agreement between the Company and Augusta University Research Institute, Inc. dated as of March 15, 2016 | X | |||
10.9 | * | License Agreement between the Company and Augusta University Research Institute, Inc. dated as of March 15, 2016 | X | |||
10.10 | * | Research Services Agreement between the Company and Augusta University Research Institute, Inc. dated as of March 15, 2016 | X | |||
10.11 | ‡* | Amended and Restated Development and Manufacturing Terms and Conditions by and between the Company and WuXi AppTec, Inc. dated January 4, 2016 | 10-K | 2/29/2016 | 10.68 | |
31.1 | Certification of principal executive officer required by Rule 13a-14(a) / 15d-14(a) | X | ||||
31.2 | Certification of principal financial officer required by Rule 13a-14(a) / 15d-14(a) | X | ||||
32.1 | # | Section 1350 Certification | X | |||
101.INS | ‡ | XBRL Instance Document | ||||
101.SCH | ‡ | XBRL Taxonomy Extension Schema Document | ||||
101.CAL | ‡ | XBRL Taxonomy Extension Calculation Linkbase Document | ||||
101.DEF | ‡ | XBRL Taxonomy Extension Definition Linkbase Document | ||||
101.LAB | ‡ | XBRL Taxonomy Extension Label Linkbase Document | ||||
101.PRE | ‡ | XBRL Taxonomy Extension Presentation Linkbase Document |
† | Indicates management contract or compensatory plan. |
* | Indicates confidential treatment has been requested with respect to specific portions of this exhibit. Omitted portions have been filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 19434, as amended. |
# | The certifications attached as Exhibit 32.1 that accompany this Quarterly Report on Form 10-Q are not deemed filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of NewLink Genetics Corporation under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Form 10-Q, irrespective of any general incorporation language contained in such filing. |
‡ | Previously filed. |