Home/Filings/4/0001209191-14-046450

4//SEC Filing

GLOBEIMMUNE INC 4

Accession 0001209191-14-046450

CIK 0001245104operating

View on SEC.gov Company Profile

Filed

Jul 7, 8:00 PM ET

Accepted

Jul 8, 5:48 PM ET

Size

31.3 KB

Accession

0001209191-14-046450

Insider Transaction Report

Form 4

Period: 2014-07-08

GLOBEIMMUNE INCGBIM

HEALTHCARE VENTURES VII LP

10% Owner

Transactions

Conversion
Common Stock
2014-07-08+123,574→ 392,203 total(indirect: By Partnership)
Purchase
Common Stock
2014-07-08$10.00/sh+190,000$1,900,000→ 584,267 total(indirect: By Partnership)
Conversion
Series E Convertible Preferred Stock
2014-07-08−64,809→ 0 total(indirect: By Partnership)
→ Common Stock (2,064 underlying)
Conversion
Common Stock
2014-07-08+188,096→ 268,629 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+80,533→ 80,533 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+2,064→ 394,267 total(indirect: By Partnership)
Conversion
Series A Convertible Preferred Stock
2014-07-08−2,528,000→ 0 total(indirect: By Partnership)
→ Common Stock (80,533 underlying)
Conversion
Series C Convertible Preferred Stock
2014-07-08−3,879,015→ 0 total(indirect: By Partnership)
→ Common Stock (123,574 underlying)
Conversion
Series B Convertible Preferred Stock
2014-07-08−5,904,335→ 0 total(indirect: By Partnership)
→ Common Stock (188,096 underlying)

CAVANAUGH JAMES H

10% Owner

Transactions

Conversion
Common Stock
2014-07-08+188,096→ 268,629 total(indirect: By Partnership)
Purchase
Common Stock
2014-07-08$10.00/sh+190,000$1,900,000→ 584,267 total(indirect: By Partnership)
Conversion
Series E Convertible Preferred Stock
2014-07-08−64,809→ 0 total(indirect: By Partnership)
→ Common Stock (2,064 underlying)
Conversion
Common Stock
2014-07-08+2,064→ 394,267 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+80,533→ 80,533 total(indirect: By Partnership)
Conversion
Series A Convertible Preferred Stock
2014-07-08−2,528,000→ 0 total(indirect: By Partnership)
→ Common Stock (80,533 underlying)
Conversion
Series C Convertible Preferred Stock
2014-07-08−3,879,015→ 0 total(indirect: By Partnership)
→ Common Stock (123,574 underlying)
Conversion
Common Stock
2014-07-08+123,574→ 392,203 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2014-07-08−5,904,335→ 0 total(indirect: By Partnership)
→ Common Stock (188,096 underlying)

HealthCare Partners VII, L.P.

10% Owner

Transactions

Conversion
Common Stock
2014-07-08+2,064→ 394,267 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+188,096→ 268,629 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+123,574→ 392,203 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2014-07-08−5,904,335→ 0 total(indirect: By Partnership)
→ Common Stock (188,096 underlying)
Conversion
Series E Convertible Preferred Stock
2014-07-08−64,809→ 0 total(indirect: By Partnership)
→ Common Stock (2,064 underlying)
Conversion
Common Stock
2014-07-08+80,533→ 80,533 total(indirect: By Partnership)
Purchase
Common Stock
2014-07-08$10.00/sh+190,000$1,900,000→ 584,267 total(indirect: By Partnership)
Conversion
Series A Convertible Preferred Stock
2014-07-08−2,528,000→ 0 total(indirect: By Partnership)
→ Common Stock (80,533 underlying)
Conversion
Series C Convertible Preferred Stock
2014-07-08−3,879,015→ 0 total(indirect: By Partnership)
→ Common Stock (123,574 underlying)

LAWLOR AUGUSTINE

Director10% Owner

Transactions

Conversion
Common Stock
2014-07-08+188,096→ 268,629 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+2,064→ 394,267 total(indirect: By Partnership)
Purchase
Common Stock
2014-07-08$10.00/sh+190,000$1,900,000→ 584,267 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2014-07-08−5,904,335→ 0 total(indirect: By Partnership)
→ Common Stock (188,096 underlying)
Conversion
Series C Convertible Preferred Stock
2014-07-08−3,879,015→ 0 total(indirect: By Partnership)
→ Common Stock (123,574 underlying)
Conversion
Common Stock
2014-07-08+80,533→ 80,533 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+123,574→ 392,203 total(indirect: By Partnership)
Conversion
Series A Convertible Preferred Stock
2014-07-08−2,528,000→ 0 total(indirect: By Partnership)
→ Common Stock (80,533 underlying)
Conversion
Series E Convertible Preferred Stock
2014-07-08−64,809→ 0 total(indirect: By Partnership)
→ Common Stock (2,064 underlying)

LITTLECHILD JOHN W

10% Owner

Transactions

Conversion
Common Stock
2014-07-08+80,533→ 80,533 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+123,574→ 392,203 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+2,064→ 394,267 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+188,096→ 268,629 total(indirect: By Partnership)
Purchase
Common Stock
2014-07-08$10.00/sh+190,000$1,900,000→ 584,267 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2014-07-08−5,904,335→ 0 total(indirect: By Partnership)
→ Common Stock (188,096 underlying)
Conversion
Series E Convertible Preferred Stock
2014-07-08−64,809→ 0 total(indirect: By Partnership)
→ Common Stock (2,064 underlying)
Conversion
Series A Convertible Preferred Stock
2014-07-08−2,528,000→ 0 total(indirect: By Partnership)
→ Common Stock (80,533 underlying)
Conversion
Series C Convertible Preferred Stock
2014-07-08−3,879,015→ 0 total(indirect: By Partnership)
→ Common Stock (123,574 underlying)

Mirabelli Christopher

10% Owner

Transactions

Conversion
Common Stock
2014-07-08+2,064→ 394,267 total(indirect: By Partnership)
Conversion
Series E Convertible Preferred Stock
2014-07-08−64,809→ 0 total(indirect: By Partnership)
→ Common Stock (2,064 underlying)
Conversion
Common Stock
2014-07-08+80,533→ 80,533 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+188,096→ 268,629 total(indirect: By Partnership)
Conversion
Series A Convertible Preferred Stock
2014-07-08−2,528,000→ 0 total(indirect: By Partnership)
→ Common Stock (80,533 underlying)
Conversion
Common Stock
2014-07-08+123,574→ 392,203 total(indirect: By Partnership)
Conversion
Series C Convertible Preferred Stock
2014-07-08−3,879,015→ 0 total(indirect: By Partnership)
→ Common Stock (123,574 underlying)
Purchase
Common Stock
2014-07-08$10.00/sh+190,000$1,900,000→ 584,267 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2014-07-08−5,904,335→ 0 total(indirect: By Partnership)
→ Common Stock (188,096 underlying)

WERNER HAROLD R

10% Owner

Transactions

Conversion
Common Stock
2014-07-08+188,096→ 268,629 total(indirect: By Partnership)
Conversion
Common Stock
2014-07-08+123,574→ 392,203 total(indirect: By Partnership)
Purchase
Common Stock
2014-07-08$10.00/sh+190,000$1,900,000→ 584,267 total(indirect: By Partnership)
Conversion
Series A Convertible Preferred Stock
2014-07-08−2,528,000→ 0 total(indirect: By Partnership)
→ Common Stock (80,533 underlying)
Conversion
Series B Convertible Preferred Stock
2014-07-08−5,904,335→ 0 total(indirect: By Partnership)
→ Common Stock (188,096 underlying)
Conversion
Series E Convertible Preferred Stock
2014-07-08−64,809→ 0 total(indirect: By Partnership)
→ Common Stock (2,064 underlying)
Conversion
Common Stock
2014-07-08+2,064→ 394,267 total(indirect: By Partnership)
Conversion
Series C Convertible Preferred Stock
2014-07-08−3,879,015→ 0 total(indirect: By Partnership)
→ Common Stock (123,574 underlying)
Conversion
Common Stock
2014-07-08+80,533→ 80,533 total(indirect: By Partnership)

Footnotes (3)

[F1]Effective immediately upon the closing of the issuer's initial public offering of its common stock, each share of convertible preferred stock automatically converted on a 1 for 31.39 basis into shares of common stock of the issuer. Pursuant to the terms of the convertible preferred stock, the conversion of the shares of the preferred stock was done on a certificate by certificate basis with fractional shares paid out to the reporting persons in cash. The convertible preferred stock had no expiration date.
[F2]These securities are held of record by HealthCare Ventures VII, L.P. ("HCVVII"). HealthCare Partners VII, L.P. ("HCPVII") is the General Partner of HCVVII. Each of James Cavanaugh, Christopher Mirabelli, Harold Werner, John Littlechild and Augustine Lawlor are general partners of HCPVII and exercise shared voting and investment power with respect to the shares owned by HCVVII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of their proportionate pecuniary interest therein. In addition, Mr. Lawlor is a member of the Board of Directors of the Issuer.
[F3]These shares were purchased by HCVVII.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

GLOBEIMMUNE INC

CIK 0001245104

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001245104

Filing Metadata

Form type: 4
Filed: Jul 7, 8:00 PM ET
Accepted: Jul 8, 5:48 PM ET
Size: 31.3 KB

View on SEC.gov