4//SEC Filing
Immune Design Corp. 4
Accession 0001123292-14-000782
CIK 0001437786operating
Filed
Jul 30, 8:00 PM ET
Accepted
Jul 31, 5:49 PM ET
Size
25.4 KB
Accession
0001123292-14-000782
Insider Transaction Report
Form 4
PENHOET EDWARD
Director10% Owner
Transactions
- Conversion
Series C Preferred Stock
2014-07-29−305,810→ 0 total(indirect: See Footnote)→ Common Stock (305,810 underlying) - Exercise of In-Money
Series C Preferred Stock Warrant (right to buy)
2014-07-29−305,810→ 0 total(indirect: See Footnote)Exercise: $8.18From: 2013-10-16→ Series C Preferred Stock (305,810 underlying) - Conversion
Common Stock
2014-07-29+531,843→ 1,265,786 total(indirect: See Footnote) - Conversion
Common Stock
2014-07-29+305,810→ 2,183,216 total(indirect: See Footnote) - Conversion
Series A Preferred Stock
2014-07-29−733,943→ 0 total(indirect: See Footnote)→ Common Stock (733,943 underlying) - Conversion
Common Stock
2014-07-29+733,943→ 733,943 total(indirect: See Footnote) - Conversion
Common Stock
2014-07-29+611,620→ 1,877,406 total(indirect: See Footnote) - Purchase
Common Stock
2014-07-29$12.00/sh+299,559$3,594,708→ 2,482,775 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2014-07-29−531,843→ 0 total(indirect: See Footnote)→ Common Stock (531,843 underlying) - Conversion
Series C Preferred Stock
2014-07-29−611,620→ 0 total(indirect: See Footnote)→ Common Stock (611,620 underlying) - Exercise of In-Money
Series C Preferred Stock
2014-07-29+305,810→ 305,810 total(indirect: See Footnote)→ Common Stock (305,810 underlying)
Footnotes (3)
- [F1]Immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series A, Series B and Series C preferred stock automatically converted into one share of common stock. The Series A, Series B and Series C preferred stock had no expiration date.
- [F2]The securities are directly by Alta Partners VIII, L.P. ("Alta Partners"). Dr. Penhoet is a director of Alta Partners and may be deemed to have beneficial ownership of shares Alta Partners' interest in the Issuer. Dr. Penhoet disclaims beneficial ownership of shares held by entities affiliated with Alta Partners, except to the extent of his pecuniary interest therein.
- [F3]The warrants were set to expire on the earlier of: (a) October 15, 2015, (b) the latter of (i) 30 days after delivery to the warrant holder of the interim study report of a specified clinical trial by the Issuer or (ii) 30 days after notice to the warrant holder of the commencement of patient recruitment for specified studies or trials by the Issuer, (c) a liquidation event of the Issuer or (d) the closing of the Issuer's initial public offering.
Documents
Issuer
Immune Design Corp.
CIK 0001437786
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001437786
Filing Metadata
- Form type
- 4
- Filed
- Jul 30, 8:00 PM ET
- Accepted
- Jul 31, 5:49 PM ET
- Size
- 25.4 KB