Filing Details

Accession Number:
0001209191-14-046415
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-08 16:26:38
Reporting Period:
2014-07-08
Filing Date:
2014-07-08
Accepted Time:
2014-07-08 16:26:38
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1245104 Globeimmune Inc GBIM Pharmaceutical Preparations (2834) 841353925
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
816284 Celgene Corp /De/ 86 Morris Avenue
Summit NJ 07901
No No Yes No
1558852 Celgene International Inc 86 Morris Avenue
C/O Celgene Corp
Summit NJ 07901
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-07-08 68,832 $0.00 68,832 No 4 C Direct
Common Stock Acquisiton 2014-07-08 275,582 $0.00 344,414 No 4 C Direct
Common Stock Acquisiton 2014-07-08 56,256 $0.00 400,670 No 4 C Direct
Common Stock Acquisiton 2014-07-08 200,000 $10.00 600,670 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Direct
No 4 C Direct
No 4 P Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series C Convertible Preferred Stock Disposition 2014-07-08 2,160,682 $0.00 68,832 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2014-07-08 8,650,519 $0.00 275,582 $0.00
Common Stock Series E Convertible Preferred Stock Disposition 2014-07-08 1,765,888 $0.00 56,256 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
Footnotes
  1. Upon closing of the Issuer's initial public offering, each share of Series C Convertible Preferred Stock automatically converted at a ratio of 1-for-31.39 into the number of shares of Common Stock shown in column 7 without payment of further consideration. The shares had no expiration date.
  2. These shares are owned directly by Celgene International Inc. ("Celgene International"), a wholly-owned subsidiary of Celgene Corporation ("Celgene"), and Celgene has the power to vote, acquire, hold and dispose of all shares. Celgene disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein.
  3. Upon closing of the Issuer's initial public offering, each share of Series D Convertible Preferred Stock automatically converted at a ratio of 1-for-31.39 into the number of shares of Common Stock shown in column 7 withouth payment of further consideration. The shares had no expiration date.
  4. Upon closing of the Issuer's initial public offering, each share of Series E Convertible Preferred Stock automatically converted at a ration of 1-for-31.39 into the number of shares of Common Stock shown in column 7 without payment of further consideration. The shares had no expiration date.
  5. These shares are owned directly by Celgene. Celgene International disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein.