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 o | Accelerated filer x | |
Non-accelerated filer o | Smaller reporting company o | |
(Do not check if a smaller reporting company) | ||
Emerging growth company o |
Item 15. | EXHIBITS, FINANCIAL STATEMENT SCHEDULES |
Incorporated By Reference | ||||||
Exhibit Number | Description | Form | Filing Date | Number | Filed Herewith | |
2.1 | 8-K | 3/20/2017 | 2.1 | |||
3.1 | 8-K | 11/18/2011 | 3.1 | |||
3.2 | 8-K | 5/14/2013 | 3.1 | |||
3.3 | 8-K | 11/18/2011 | 3.2 | |||
4.1 | S-1/A | 10/26/2011 | 4.1 | |||
4.2 | Reference is made to Exhibits 3.1, 3.2 and 3.3 | |||||
4.3 | 10-Q | 5/10/2012 | 4.3 | |||
10.1 | † | S-1/A | 11/8/2011 | 10.11 | ||
10.2 | † | S-1 | 12/21/2010 | 10.2 | ||
10.3.1 | † | S-1 | 12/21/2010 | 10.3 | ||
10.3.2 | † | S-1 | 12/21/2010 | 10.4 | ||
10.3.3 | † | S-1 | 12/21/2010 | 10.5 | ||
10.4 | † | S-1 | 12/21/2010 | 10.6 | ||
10.4.1 | † | S-1 | 12/21/2010 | 10.7 | ||
10.4.2 | † | S-1 | 12/21/2010 | 10.8 | ||
10.4.3 | † | 10-Q | 8/5/2014 | 10.6 | ||
10.4.4 | † | 10-Q | 8/5/2014 | 10.7 | ||
10.4.5 | † | 10-Q | 8/5/2014 | 10.8 | ||
10.5 | † | 8-K | 5/14/2013 | 10.2 | ||
10.6 | † | 10-Q | 11/8/2016 | 10.1 | ||
10.6.1 | † | 10-Q | 8/5/2014 | 10.4 | ||
10.6.2 | † | 10-Q | 8/5/2014 | 10.5 | ||
10.7 | * | S-1/A | 11/8/2011 | 10.46 | ||
10.7.1 | * | S-1/A | 11/8/2011 | 10.47 | ||
10.7.2 | * | S-1/A | 11/8/2011 | 10.48 | ||
10.7.3 | * | S-1/A | 11/8/2011 | 10.49 |
10.7.4 | * | 10-Q | 11/10/2014 | 10.3 | ||
10.7.5 | * | 10-Q | 11/10/2014 | 10.4 | ||
10.8 | * | S-1 | 12/21/2010 | 10.41 | ||
10.9 | * | S-1/A | 11/8/2011 | 10.66 | ||
10.10 | * | S-1/A | 11/8/2011 | 10.38 | ||
10.10.1 | S-1/A | 10/4/2011 | 10.39 | |||
10.10.2 | S-1/A | 10/4/2011 | 10.40 | |||
10.10.3 | S-1/A | 10/4/2011 | 10.41 | |||
10.10.4 | S-1/A | 10/4/2011 | 10.42 | |||
10.10.5 | S-1/A | 10/4/2011 | 10.43 | |||
10.10.6 | S-1/A | 10/4/2011 | 10.44 | |||
10.10.7 | S-1/A | 10/4/2011 | 10.45 | |||
10.10.8 | S-1/A | 10/4/2011 | 10.79 | |||
10.11 | S-1 | 12/21/2010 | 10.48 | |||
10.12 | S-1 | 12/21/2010 | 10.49 | |||
10.13 | S-1 | 12/21/2010 | 10.50 | |||
10.14 | S-1 | 12/21/2010 | 10.51 | |||
10.15 | S-1 | 12/21/2010 | 10.52 | |||
10.16 | S-1 | 12/21/2010 | 10.53 | |||
10.17 | S-1/A | 10/26/2011 | 10.82 | |||
10.18 | S-1/A | 10/26/2011 | 10.84 | |||
10.19 | S-1/A | 10/26/2011 | 10.83 | |||
10.20 | 8-K | 11/18/2011 | 10.1 | |||
10.21 | S-1 | 12/21/2010 | 10.54 | |||
10.22 | S-1 | 12/21/2010 | 10.56 | |||
10.23 | S-1 | 12/21/2010 | 10.58 | |||
10.24 | S-1 | 12/21/2010 | 10.59 |
10.25 | S-1 | 12/21/2010 | 10.57 | |||
10.26 | S-1 | 12/21/2010 | 10.60 | |||
10.27 | S-1/A | 9/14/2011 | 10.77 | |||
10.28 | S-1/A | 9/14/2011 | 10.78 | |||
10.29 | S-1/A | 2/28/2011 | 10.68 | |||
10.29.1 | S-1/A | 2/28/2011 | 10.69 | |||
10.30 | * | S-1/A | 11/8/2011 | 10.70 | ||
10.30.1 | S-1/A | 10/4/2011 | 10.80 | |||
10.31 | S-1/A | 2/28/2011 | 10.71 | |||
10.31.1 | S-1/A | 2/28/2011 | 10.72 | |||
10.32 | S-1/A | 2/28/2011 | 10.73 | |||
10.33 | S-1/A | 2/28/2011 | 10.74 | |||
10.34 | S-1/A | 10/4/2011 | 10.81 | |||
10.35 | 8-K | 3/12/2012 | 10.2 | |||
10.36 | 8-K | 3/12/2012 | 10.3 | |||
10.37 | 8-K | 3/12/2012 | 10.4 | |||
10.38 | 8-K | 3/28/2012 | 10.1 | |||
10.39 | * | 10-Q | 5/10/2012 | 10.6 | ||
10.40 | 10-K | 3/15/2013 | 10.1 | |||
10.41 | 10-K | 3/15/2013 | 10.2 | |||
10.42 | 10-K | 3/15/2013 | 10.3 | |||
10.43 | 10-Q | 5/8/2013 | 10.1 | |||
10.44 | 10-Q | 8/8/2013 | 10.2 | |||
10.45 | 10-Q | 11/12/2013 | 10.1 | |||
10.46 | 10-Q | 11/12/2013 | 10.2 |
10.47 | 10-K | 3/12/2014 | 10.93 | |||
10.48 | * | 10-K | 3/16/2015 | 10.105 | ||
10.48.1 | * | 10-K | 3/5/2018 | 10.48.1 | ||
10.49 | 10-K | 3/16/2015 | 10.106 | |||
10.49.1 | 10-K | 2/29/2016 | 10.62.1 | |||
10.50 | 10-K | 3/16/2015 | 10.107 | |||
10.50.1 | 10-K | 3/16/2015 | 10.108 | |||
10.50.2 | 10-K | 2/29/2016 | 10.63.2 | |||
10.51 | † | 8-K | 1/7/2016 | 10.1 | ||
10.52 | † | 8-K | 1/7/2016 | 10.2 | ||
10.53 | * | 10-Q/A | 11/3/2016 | 10.8 | ||
10.54 | * | 10-Q/A | 11/3/2016 | 10.9 | ||
10.55 | * | 10-Q/A | 11/3/2016 | 10.10 | ||
10.56 | 8-K | 11/29/2016 | 10.1 | |||
10.57 | † | 8-K | 1/7/2016 | 10.3 | ||
10.58 | † | 8-K | 1/7/2016 | 10.4 | ||
10.59 | † | 8-K | 1/7/2016 | 10.6 | ||
10.60 | † | 8-K | 1/7/2016 | 10.7 | ||
10.61 | * | 10-K | 3/5/2018 | 10.61 | ||
10.62 | † | 8-K | 1/7/2016 | 10.5 | ||
10.63 | † | X | ||||
21.1 | 10-K | 3/5/2018 | 21.1 | |||
23.1 | 10-K | 3/5/2018 | 23.1 | |||
24.1 | Power of Attorney (included on signature page thereto) | 10-K | 3/5/2018 | 24.1 | ||
31.1 | 10-K | 3/5/2018 | 31.1 | |||
31.2 | 10-K | 3/5/2018 | 31.2 | |||
31.3 | X | |||||
31.4 | X | |||||
32.1 | # | 10-K | 3/5/2018 | 32.1 | ||
32.2 | # | X |
101.INS | XBRL Instance Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
101.SCH | XBRL Taxonomy Extension Schema Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
101.LAB | XBRL Taxonomy Extension Label Linkbase Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
101.DEF | XBRL Taxonomy Extension Definition Linkbase Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
† | 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 accompanies the Annual Report on Form 10-K and Exhibit 32.2 that accompanies this Amendment No. 1 to the Annual Report on Form 10-K/A 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 the Form 10-K or this Form 10-K/A, respectively, irrespective of any general incorporation language contained in such filing. |
NEWLINK GENETICS CORPORATION | |||
By: | /s/ Charles J. Link, Jr. | By: | /s/ John B. Henneman, III |
Charles J. Link, Jr. | John B. Henneman, III | ||
Chief Executive Officer | Chief Financial Officer and Secretary | ||
(Principal Executive Officer) | (Principal Financial Officer) | ||
Date: April 9, 2018 | Date: April 9, 2018 | ||
By: | /s/ Carl W. Langren | ||
Carl W. Langren | |||
Vice President Finance | |||
(Principal Accounting Officer) | |||
Date: April 9, 2018 |
Name | Title | Date | ||||||
/s/ Charles J. Link, Jr. | Chief Executive Officer, Chairman of Board of Directors and Director | April 9, 2018 | ||||||
Charles J. Link, Jr. | (Principal Executive Officer) | |||||||
/s/ John B. Henneman, III | Chief Financial Officer and Secretary | April 9, 2018 | ||||||
John B. Henneman, III | (Principal Financial Officer) | |||||||
/s/ Carl W. Langren | Vice President Finance | April 9, 2018 | ||||||
Carl W. Langren | (Principal Accounting Officer) | |||||||
* | Director | |||||||
Thomas A. Raffin | ||||||||
* | Director | |||||||
Ernest J. Talarico, III | ||||||||
* | Director | |||||||
Lota Zoth | ||||||||
* | Director | |||||||
Paul Edick | ||||||||
* | Director | |||||||
Paolo Pucci | ||||||||
* | Director | |||||||
Nicholas N. Vahanian | ||||||||
*By: /s/ Charles J. Link, Jr. | April 9, 2018 | |||||||
Charles J. Link, Jr. | ||||||||
Attorney-in-Fact |
Incorporated By Reference | ||||||
Exhibit Number | Description | Form | Filing Date | Number | Filed Herewith | |
2.1 | 8-K | 3/20/2017 | 2.1 | |||
3.1 | 8-K | 11/18/2011 | 3.1 | |||
3.2 | 8-K | 5/14/2013 | 3.1 | |||
3.3 | 8-K | 11/18/2011 | 3.2 | |||
4.1 | S-1/A | 10/26/2011 | 4.1 | |||
4.2 | Reference is made to Exhibits 3.1, 3.2 and 3.3 | |||||
4.3 | 10-Q | 5/10/2012 | 4.3 | |||
10.1 | † | S-1/A | 11/8/2011 | 10.11 | ||
10.2 | † | S-1 | 12/21/2010 | 10.2 | ||
10.3.1 | † | S-1 | 12/21/2010 | 10.3 | ||
10.3.2 | † | S-1 | 12/21/2010 | 10.4 | ||
10.3.3 | † | S-1 | 12/21/2010 | 10.5 | ||
10.4 | † | S-1 | 12/21/2010 | 10.6 | ||
10.4.1 | † | S-1 | 12/21/2010 | 10.7 | ||
10.4.2 | † | S-1 | 12/21/2010 | 10.8 | ||
10.4.3 | † | 10-Q | 8/5/2014 | 10.6 | ||
10.4.4 | † | 10-Q | 8/5/2014 | 10.7 | ||
10.4.5 | † | 10-Q | 8/5/2014 | 10.8 | ||
10.5 | † | 8-K | 5/14/2013 | 10.2 | ||
10.6 | † | 10-Q | 11/8/2016 | 10.1 | ||
10.6.1 | † | 10-Q | 8/5/2014 | 10.4 | ||
10.6.2 | † | 10-Q | 8/5/2014 | 10.5 | ||
10.7 | * | S-1/A | 11/8/2011 | 10.46 | ||
10.7.1 | * | S-1/A | 11/8/2011 | 10.47 | ||
10.7.2 | * | S-1/A | 11/8/2011 | 10.48 | ||
10.7.3 | * | S-1/A | 11/8/2011 | 10.49 | ||
10.7.4 | * | 10-Q | 11/10/2014 | 10.3 | ||
10.7.5 | * | 10-Q | 11/10/2014 | 10.4 | ||
10.8 | * | S-1 | 12/21/2010 | 10.41 |
10.9 | * | S-1/A | 11/8/2011 | 10.66 | ||
10.10 | * | S-1/A | 11/8/2011 | 10.38 | ||
10.10.1 | S-1/A | 10/4/2011 | 10.39 | |||
10.10.2 | S-1/A | 10/4/2011 | 10.40 | |||
10.10.3 | S-1/A | 10/4/2011 | 10.41 | |||
10.10.4 | S-1/A | 10/4/2011 | 10.42 | |||
10.10.5 | S-1/A | 10/4/2011 | 10.43 | |||
10.10.6 | S-1/A | 10/4/2011 | 10.44 | |||
10.10.7 | S-1/A | 10/4/2011 | 10.45 | |||
10.10.8 | S-1/A | 10/4/2011 | 10.79 | |||
10.11 | S-1 | 12/21/2010 | 10.48 | |||
10.12 | S-1 | 12/21/2010 | 10.49 | |||
10.13 | S-1 | 12/21/2010 | 10.50 | |||
10.14 | S-1 | 12/21/2010 | 10.51 | |||
10.15 | S-1 | 12/21/2010 | 10.52 | |||
10.16 | S-1 | 12/21/2010 | 10.53 | |||
10.17 | S-1/A | 10/26/2011 | 10.82 | |||
10.18 | S-1/A | 10/26/2011 | 10.84 | |||
10.19 | S-1/A | 10/26/2011 | 10.83 | |||
10.20 | 8-K | 11/18/2011 | 10.1 | |||
10.21 | S-1 | 12/21/2010 | 10.54 | |||
10.22 | S-1 | 12/21/2010 | 10.56 | |||
10.23 | S-1 | 12/21/2010 | 10.58 | |||
10.24 | S-1 | 12/21/2010 | 10.59 | |||
10.25 | S-1 | 12/21/2010 | 10.57 | |||
10.26 | S-1 | 12/21/2010 | 10.60 | |||
10.27 | S-1/A | 9/14/2011 | 10.77 |
10.28 | S-1/A | 9/14/2011 | 10.78 | |||
10.29 | S-1/A | 2/28/2011 | 10.68 | |||
10.29.1 | S-1/A | 2/28/2011 | 10.69 | |||
10.30 | * | S-1/A | 11/8/2011 | 10.70 | ||
10.30.1 | S-1/A | 10/4/2011 | 10.80 | |||
10.31 | S-1/A | 2/28/2011 | 10.71 | |||
10.31.1 | S-1/A | 2/28/2011 | 10.72 | |||
10.32 | S-1/A | 2/28/2011 | 10.73 | |||
10.33 | S-1/A | 2/28/2011 | 10.74 | |||
10.34 | S-1/A | 10/4/2011 | 10.81 | |||
10.35 | 8-K | 3/12/2012 | 10.2 | |||
10.36 | 8-K | 3/12/2012 | 10.3 | |||
10.37 | 8-K | 3/12/2012 | 10.4 | |||
10.38 | 8-K | 3/28/2012 | 10.1 | |||
10.39 | * | 10-Q | 5/10/2012 | 10.6 | ||
10.40 | 10-K | 3/15/2013 | 10.1 | |||
10.41 | 10-K | 3/15/2013 | 10.2 | |||
10.42 | 10-K | 3/15/2013 | 10.3 | |||
10.43 | 10-Q | 5/8/2013 | 10.1 | |||
10.44 | 10-Q | 8/8/2013 | 10.2 | |||
10.45 | 10-Q | 11/12/2013 | 10.1 | |||
10.46 | 10-Q | 11/12/2013 | 10.2 | |||
10.47 | 10-K | 3/12/2014 | 10.93 | |||
10.48 | * | 10-K | 3/16/2015 | 10.105 |
10.48.1 | * | 10-K | 3/5/2018 | 10.48.1 | ||
10.49 | 10-K | 3/16/2015 | 10.106 | |||
10.49.1 | 10-K | 2/29/2016 | 10.62.1 | |||
10.50 | 10-K | 3/16/2015 | 10.107 | |||
10.50.1 | 10-K | 3/16/2015 | 10.108 | |||
10.50.2 | 10-K | 2/29/2016 | 10.63.2 | |||
10.51 | † | 8-K | 1/7/2016 | 10.1 | ||
10.52 | † | 8-K | 1/7/2016 | 10.2 | ||
10.53 | * | 10-Q/A | 11/3/2016 | 10.8 | ||
10.54 | * | 10-Q/A | 11/3/2016 | 10.9 | ||
10.55 | * | 10-Q/A | 11/3/2016 | 10.10 | ||
10.56 | 8-K | 11/29/2016 | 10.1 | |||
10.57 | † | 8-K | 1/7/2016 | 10.3 | ||
10.58 | † | 8-K | 1/7/2016 | 10.4 | ||
10.59 | † | 8-K | 1/7/2016 | 10.6 | ||
10.60 | † | 8-K | 1/7/2016 | 10.7 | ||
10.61 | * | 10-K | 3/5/2018 | 10.61 | ||
10.62 | † | 8-K | 1/7/2016 | 10.5 | ||
10.63 | † | X | ||||
21.1 | 10-K | 3/5/2018 | 21.1 | |||
23.1 | 10-K | 3/5/2018 | 23.1 | |||
24.1 | Power of Attorney (included on signature page thereto) | 10-K | 3/5/2018 | 24.1 | ||
31.1 | 10-K | 3/5/2018 | 31.1 | |||
31.2 | 10-K | 3/5/2018 | 31.2 | |||
31.3 | X | |||||
31.4 | X | |||||
32.1 | # | 10-K | 3/5/2018 | 32.1 | ||
32.2 | # | X | ||||
101.INS | XBRL Instance Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
101.SCH | XBRL Taxonomy Extension Schema Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document (filed electronically therewith) | 10-K | 3/5/2018 |
101.LAB | XBRL Taxonomy Extension Label Linkbase Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
101.DEF | XBRL Taxonomy Extension Definition Linkbase Document (filed electronically therewith) | 10-K | 3/5/2018 | |||
† | 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 accompanies the Annual Report on Form 10-K and Exhibit 32.2 that accompanies this Amendment No. 1 to the Annual Report on Form 10-K/A 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 the Form 10-K or this Form 10-K/A, respectively, irrespective of any general incorporation language contained in such filing. |