GUTHART LEO 4/A
4/A · Immune Design Corp. · Filed Oct 24, 2017
Insider Transaction Report
Form 4/AAmended
GUTHART LEO
10% Owner
Transactions
- Purchase
Common Stock
2017-10-24$4.35/sh+10,000$43,465→ 3,198,239 total(indirect: See Note) - Purchase
Common Stock
2017-10-24$4.35/sh+20,000$87,000→ 3,188,239 total(indirect: See Note) - Purchase
Common Stock
2017-10-24$4.34/sh+10,000$43,426→ 3,208,239 total(indirect: See Note) - Purchase
Common Stock
2017-10-20$5.26/sh+10,000$52,600→ 3,158,239 total(indirect: See Note) - Purchase
Common Stock
2017-10-20$5.25/sh+10,000$52,500→ 3,168,239 total(indirect: See Note)
Footnotes (4)
- [F1]The transactions reported herein were within a certain Individual Retirement Account in the name of Leo A. Guthart.
- [F2]Taking into account the transactions reported herein, Individual Retirement Accounts in the name of Leo A. Guthart are the direct beneficial owners of a total of 120,725 shares of the Issuer's Common Stock and, as a result, Leo A. Guthart may be deemed an indirect beneficial owner of such shares. However, Leo A. Guthart disclaims beneficial ownership of such shares, except to the extent of his indirect pecuniary interest in such shares.
- [F3]Leo A. Guthart is the managing member of LG Management, LLC, which is the general partner of Topspin Fund L.P., which is the direct beneficial owner of 3,087,514 shares of the Issuer's Common Stock. As a result, Leo A. Guthart may be deemed an indirect beneficial owner of the 3,087,514 shares of the Issuer's Common Stock directly beneficially owned by Topspin Fund L.P. However, Leo A. Guthart and LG Management, LLC disclaim beneficial ownership of the 3,087,514 shares of the Issuer's Common Stock directly beneficially owned by Topspin Fund L.P., except to the extent of their respective indirect pecuniary interests in such shares.
- [F4]Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned is intentionally omitted because there are no reportable transactions involving derivative securities.