SEC Filing | Nkarta, Inc.

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SEC FORM 3 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Plunkett Matthew

(Last)

(First)

(Middle)

C/O NKARTA, INC.

6000 SHORELINE COURT, SUITE 102

(Street)

SOUTH SAN FRANCISCO

94080

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
07/09/2020

3. Issuer Name and Ticker or Trading Symbol
Nkarta, Inc. [ NKTX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Financial Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	37,499⁽¹⁾⁽²⁾	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Option (right to buy)	⁽³⁾	12/06/2028	Common Stock	12,500⁽²⁾	0.41	D
Stock Option (right to buy)	⁽⁴⁾	09/05/2029	Common Stock	115,945⁽²⁾	3.89	D
Stock Option (right to buy)	⁽⁵⁾	09/05/2029	Common Stock	102,432⁽²⁾	3.89	D

Explanation of Responses:

1. Includes 17,708 shares acquired upon early exercise of an option, which are subject to forfeiture until they vest.

2. Share numbers give effect to the 1-for-3.7 reverse stock split of each share of the Issuer's Common Stock, which became effective on July 1, 2020.

3. The option will vest and become exercisable ratably in monthly installments until fully vested on November 29, 2022.

4. The option is vested and exercisable as to 24,155 shares, and the remaining shares will vest and become exercisable ratably in monthly installments until fully vested on September 5, 2023.

5. The option will vest and become exercisable ratably in monthly installments until fully vested on September 5, 2023.

Remarks:

	/s/ Matthew Plunkett	07/09/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

                                  POWER OF ATTORNEY

        The undersigned hereby constitutes and appoints Paul Hastings,
Chief Executive Officer of Nkarta, Inc., a Delaware corporation (the "Company"),
the undersigned's true and lawful attorney-in-fact to:

        1       execute for and on behalf of the undersigned, in the
                undersigned's capacity as an officer and/or director of the
                Company, Forms 3, 4, and 5 in accordance with Section 16(a) of
                the Securities Exchange Act of 1934, as amended and the rules
                thereunder (the "Exchange Act"), and/or authenticating documents
                pursuant to the rules governing the SEC's EDGAR Filer Management
                and application thereto;

        2       do and perform any and all acts for and on behalf of the
                undersigned which may be necessary or desirable to complete and
                execute any such Form 3, 4, or 5, complete and execute any
                amendment or amendments thereto, and timely file such form with
                the United States Securities and Exchange Commission and any
                stock exchange or similar authority; and

        3       take any other action of any type whatsoever in connection with
                the foregoing which, in the opinion of such attorney-in-fact,
                may be of benefit to, in the best interest of, or legally
                required by, the undersigned, it being understood that the
                documents executed by such attorney-in-fact on behalf of the
                undersigned pursuant to this Power of Attorney shall be in such
                form and shall contain such terms and conditions as such
                attorney-in-fact may approve in such attorney-in-fact's
                discretion.

        The undersigned hereby grants to such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted.

        The undersigned acknowledges that:

        1       neither the Company nor the foregoing attorney-in-fact assumes
                (i) any liability for the undersigned's responsibility to comply
                with the requirement of the Exchange Act, (ii) any liability of
                the undersigned for any failure to comply with such requirements
                or (iii) any obligation or liability of the undersigned for
                profit disgorgement under Section 16(b) of the Exchange Act; and

        2       this Power of Attorney does not relieve the undersigned from
                responsibility for compliance with the undersigned's obligations
                under the Exchange Act, including without limitation the
                reporting requirements under Section 16 of the Exchange Act.

        This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorney-in-fact.

                     [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK.]

        IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 7th day of July, 2020.

                                        /s/ Matthew Plunkett
                                        ----------------------------------------
                                        MATTHEW PLUNKETT