# EDGAR Filing Document

**Accession Number:** 0001404644
**File Stem:** 0001209191-23-006881
**Filing Date:** 2023-2
**Character Count:** 7619
**Document Hash:** b1c6d937ed3c0782a5c7ebfae6913f9d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-006881.hdr.sgml**: 20230203

**ACCESSION NUMBER**: 0001209191-23-006881

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230201

**FILED AS OF DATE**: 20230203

**DATE AS OF CHANGE**: 20230203

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Patel Priti
- **CENTRAL INDEX KEY:** 0001859997

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36327
- **FILM NUMBER:** 23586520

**MAIL ADDRESS:**
- **STREET 1:** C/O NEOLEUKIN THERAPEUTICS, INC.
- **STREET 2:** 188 EAST BLAINE STREET, #450
- **CITY:** SEATTLE
- **STATE:** WA
- **ZIP:** 98102
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Neoleukin Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001404644
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** SUITE 360 - 1616 EASTLAKE AVE EAST
- **CITY:** SEATTLE
- **STATE:** WA
- **ZIP:** 98102
- **BUSINESS PHONE:** 206-732-2133

**MAIL ADDRESS:**
- **STREET 1:** SUITE 360 - 1616 EASTLAKE AVE EAST
- **CITY:** SEATTLE
- **STATE:** WA
- **ZIP:** 98102

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AQUINOX PHARMACEUTICALS, INC
- **DATE OF NAME CHANGE:** 20140128

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AQUINOX PHARMACEUTICALS (USA) INC
- **DATE OF NAME CHANGE:** 20070626

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Patel Priti<br><sub>(Last) (First) (Middle)</sub><br>C/O NEOLEUKIN THERAPEUTICS, INC.<br>188 EAST BLAINE STREET, #450<br><sub>(Street)</sub><br>SEATTLE, WA 98102<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Medical Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Neoleukin Therapeutics, Inc. [ NLTX ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-01 |  | M |  | 35000 | A | $0.00 | 45462<sup>(1)</sup> | D |  |
| Common Stock | 2023-02-02 |  | S<sup>(2)</sup> |  | 14380 | D | 0.5972<sup>(3)</sup> | 31082<sup>(1)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | 0.00<sup>(4)</sup> | 2023-02-01 |  | M |  |  | 35000 | <sup>(5)</sup> | <sup>(6)</sup> | Common Stock | 35000 | $0.00 | 35000 | D |  |

---

### Footnotes:

(1) Includes 2,000 shares of Common Stock acquired by the Reporting Person on May 13, 2022 and 2,000 shares of Common Stock acquired by the Reporting Person on November 15, 2022 pursuant to the Issuer's employee stock purchase plan.

(2) 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.

(3) Represents the weighted average sale price. The lowest price at which shares were sold was $0.576 and the highest price at which shares were sold was $0.635. 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 ranges set forth herein.

(4) Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

(5) The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

(6) The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.

**Signature:** /s/ Sean Smith, Attorney-in-Fact for Priti Patel  
**Date:** 2023-02-03

### Remarks:

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 4 (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.**