Key facts
- This page summarizes Sean Michael Smith's Form 4 filing for Neoleukin Therapeutics, Inc. (NGNE).
- 3 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 14 Aug 2023, 16:06.
Sean Michael Smith - 10 Aug 2023 Form 4 Insider Report for Neoleukin Therapeutics, Inc. (NGNE)
- Reporting relationship
- Interim CFO, Prin Acct Off
- Issuer ticker
- NGNE
- Reported as of
- 10 Aug 2023
- Net transaction value
- -$818
- SEC form
- 4
- Accepted by SEC
- 14 Aug 2023, 16:06:55 UTC
- Prior SEC filing
- 03 Feb 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Sean Smith
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Sean Michael Smith filed Form 4 for Neoleukin Therapeutics, Inc. (NGNE) on 14 Aug 2023.
Change
- Previous filing in this sequence was filed on 03 Feb 2023.
- Current net transaction value: -$818.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
NLTX
transaction
Common Stock
Options Exercise
- Transaction value
- $0
- Shares
- +5,000
- Change %
- +28%
- Price
- $0.000000
- Shares after
- 22,960
- Date
- 10 Aug 2023
- Ownership
- Direct
- Footnotes
- F1
NLTX
transaction
Common Stock
Sale
- Transaction value
- $818
- Shares
- -1,323
- Change %
- -5.8%
- Price
- $0.6184
- Shares after
- 21,637
- Date
- 11 Aug 2023
- Ownership
- Direct
- Footnotes
- F1, F2, F3
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
NLTX
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -5,000
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 10 Aug 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 5,000
- Exercise price
- $0.000000
- Footnotes
- F4, F5, F6
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 6 footnotes
Footnote F1
Includes 2,000 shares of common stock acquired by the Reporting Person on May 15, 2023 pursuant to the Issuer's employee stock purchase plan.
Footnote F2
The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.
Footnote F3
Represents the weighted average sale price. The lowest price at which shares were sold was $.6146 and the highest price at which shares were sold was $0.6399. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein.
Footnote F4
Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.
Footnote F5
The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of August 10, 2022 and August 10, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
Footnote F6
The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.