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Filing Details

Accession Number:
0001209191-14-046565
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-09 17:29:41
Reporting Period:
2014-07-08
Filing Date:
2014-07-09
Accepted Time:
2014-07-09 17:29:41
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
1162183 Morgenthaler Partners Vii Lp 2710 Sand Hill Road, Suite 100
Menlo Park CA 94025
No No Yes No
1379550 Morgenthaler Management Partners Vii, Llc 2710 Sand Hill Road, Suite 100
Menlo Park CA 94025
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 2014-07-08 400,461 $0.00 400,461 No 4 C Direct
Common Stock Acquisiton 2014-07-08 130,000 $10.00 530,461 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Convertible Preferred Stock Disposition 2014-07-08 2,528,000 $0.00 80,533 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2014-07-08 5,904,335 $0.00 188,096 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2014-07-08 3,879,015 $0.00 123,574 $0.00
Common Stock Series E Convertible Preferred Stock Disposition 2014-07-08 259,235 $0.00 8,258 $0.00
Common Stock Warrant to Purchase Series B Preferred Stock (right to buy) Disposition 2014-07-08 162,369 $1.34 162,369 $0.00
Common Stock Warrant to Purchase Series C Preferred Stock (right to buy) Disposition 2014-07-08 116,586 $1.45 116,586 $0.00
Common Stock Warrant to Purchase Common Stock (right to buy) Acquisiton 2014-07-08 5,172 $0.00 5,172 $42.00
Common Stock Warrant to Purchase Common Stock (right to buy) Acquisiton 2014-07-08 3,714 $0.00 3,714 $45.36
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
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
5,172 No 4 C Direct
3,714 No 4 C Direct
Footnotes
  1. Represents shares of common stock of the Issuer received upon conversion of shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series E Convertible Stock.
  2. Every one share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series E Convertible Stock (collectively, the "Convertible Preferred Stock") converted on a 1-for- 31.39 basis into shares of common stock of the Issuer upon the closing of the Issuer's initial public offering. The Convertible Preferred Stock of the Issuer had no expiration and was convertible at any time at the option of the holder.
  3. Each one share of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock converted on a 1-for-31.39 share basis into shares of common stock of the Issuer upon the closing of the Issuer's initial public offering. The number of shares and price per share reported herein does not reflect such conversion. The Warrant was immediately exercisable at any time at the option of the holder.
  4. Represents warrants to purchase shares of common stock of the Issuer following the conversion of the Series B Convertible Preferred Stock and Series C Convertible Preferred Stock on a 1-for-31.39 share basis. The number of shares and price per share reported herein reflects such conversion. The Warrant is immediately exercisable at any time at the option of the holder.
  5. The general partner of Morgenthaler Partners VII, L.P. ("MP VII LP") is Morgenthaler Management Partners VII, L.L.C. ("MMP VII LLC"). MMP VII LLC may be deemed to indirectly beneficially own the shares owned by MP VII LP. MMP VII LLC disclaims beneficial ownership of the shares held by MP VII LP, except to the extent of its pecuniary interest arising therein.