4//SEC Filing
GLOBEIMMUNE INC 4
Accession 0001209191-16-107676
CIK 0001245104operating
Filed
Mar 9, 7:00 PM ET
Accepted
Mar 10, 6:19 PM ET
Size
16.0 KB
Accession
0001209191-16-107676
Insider Transaction Report
Form 4
GLOBEIMMUNE INCGBIM
MITCHELL DANIEL J
Director
Transactions
- Sale
Common Stock
2016-03-09$1.21/sh−5,643$6,823→ 219,354 total(indirect: By Partnership) - Sale
Common Stock
2016-03-10$1.16/sh−4,573$5,299→ 214,781 total(indirect: By Partnership) - Sale
Common Stock
2016-03-08$1.14/sh−5,741$6,546→ 224,997 total(indirect: By Partnership) - Sale
Common Stock
2016-03-08$1.14/sh−159$181→ 4,166 total(indirect: By Sequel Entrepreneurs Fund III, LP) - Sale
Common Stock
2016-03-09$1.21/sh−157$190→ 4,009 total(indirect: By Sequel Entrepreneurs Fund III, LP) - Sale
Common Stock
2016-03-10$1.16/sh−127$147→ 3,882 total(indirect: By Sequel Entrepreneurs Fund III, LP)
Holdings
- 10,000
Common Stock
Footnotes (4)
- [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.11 to $1.16, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote to this Form 4.
- [F2]The general partner of the Sequel Limited Partnership III and Sequel Entrepreneurs Fund III, L.P. (collectively, the "Sequel Funds") is Sequel Venture Partners III, L.L.C. ("SVP III"). SVP III may be deemed to indirectly beneficially own the shares owned by the Sequel Funds. The Reporting Person is a manager of SVP III and may be deemed to be the indirect beneficial owner of the shares owned by the Sequel Funds. The Reporting Person disclaims beneficial ownership of the shares held by the Sequel Funds, except to the extent of his pecuniary interest arising therein.
- [F3]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.16 to $1.32, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote to this Form 4.
- [F4]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.13 to $1.27, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote to this Form 4.
Documents
Issuer
GLOBEIMMUNE INC
CIK 0001245104
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001245104
Filing Metadata
- Form type
- 4
- Filed
- Mar 9, 7:00 PM ET
- Accepted
- Mar 10, 6:19 PM ET
- Size
- 16.0 KB