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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| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
| C/O NKARTA, INC. |
| 6000 SHORELINE COURT, SUITE 102 |
(Street)
| SOUTH SAN FRANCISCO |
CA |
94080 |
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2. Date of Event Requiring Statement
(Month/Day/Year)
03/24/2021
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3. Issuer Name and Ticker or Trading Symbol
Nkarta, Inc.
[ NKTX ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
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Other (specify below) |
| Sr. VP, Technical Operations |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Stock Option (right to buy) |
|
07/18/2028 |
Common Stock |
8,727 |
0.41 |
D |
|
| Stock Option (right to buy) |
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05/10/2029 |
Common Stock |
10,405 |
4.77 |
D |
|
| Stock Option (right to buy) |
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09/05/2029 |
Common Stock |
52,287 |
3.89 |
D |
|
| Stock Option (right to buy) |
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09/05/2029 |
Common Stock |
34,858 |
3.89 |
D |
|
| Stock Option (right to buy) |
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07/08/2030 |
Common Stock |
18,480 |
18 |
D |
|
| Stock Option (right to buy) |
|
07/08/2030 |
Common Stock |
17,710 |
18 |
D |
|
| Stock Option (right to buy) |
|
01/07/2031 |
Common Stock |
30,000 |
54.89 |
D |
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| Explanation of Responses: |
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| Remarks: |
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/s/ Alicia Hager, Attorney-in-Fact for Ralph Brandenberger |
03/31/2021 |
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** 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 each of Paul Hastings,
Chief Executive Officer of Nkarta, Inc., a Delaware corporation (the "Company"),
Nadir Mahmood, Chief Financial and Business Officer of the Company, and Alicia
Hager, Chief Legal Officer of 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 each
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 29th day of March, 2021.
/s/ R. Brandenberger
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RALPH BRANDENBERGER
