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Filing Details

Accession Number:: 0001209191-14-046570
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-07-09 17:37:40
Reporting Period:: 2014-07-08

Filing Date:: 2014-07-09
Accepted Time:: 2014-07-09 17:37:40
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
1113661	J Daniel Mitchell	C/O Sequel Limited Partnership Iii 4430 Arapahoe Avenue, Suite 220 Boulder CO 80303		Yes	No	No	No

Reported Non-Derivative Transactions

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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	6,961	$0.00	6,961	No	4	C	Indirect	By Sequel Entrepreneurs Fund III, LP
Common Stock	Acquisiton	2014-07-08	250,645	$0.00	250,645	No	4	C	Indirect	By Sequel Limited Partnership III
Common Stock	Acquisiton	2014-07-08	75,000	$10.00	325,645	No	4	P	Indirect	By Sequel Limited Partnership III
Common Stock	Acquisiton	2014-07-08	10,000	$10.00	10,000	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By Sequel Entrepreneurs Fund III, LP
No	4	C	Indirect	By Sequel Limited Partnership III
No	4	P	Indirect	By Sequel Limited Partnership III
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Convertible Preferred Stock	Disposition	2014-07-08	36,557	$0.00	1,162	$0.00
Common Stock	Series A Convertible Preferred Stock	Disposition	2014-07-08	1,315,441	$0.00	41,904	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2014-07-08	84,879	$0.00	2,704	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2014-07-08	3,054,134	$0.00	97,296	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2014-07-08	75,318	$0.00	2,398	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2014-07-08	2,710,122	$0.00	86,335	$0.00
Common Stock	Series E Convertible Preferred Stock	Disposition	2014-07-08	21,905	$0.00	697	$0.00
Common Stock	Series E Convertible Preferred Stock	Disposition	2014-07-08	788,205	$0.00	25,110	$0.00
Common Stock	Warrant to Purchase Series B Preferred Stock (right to buy)	Disposition	2014-07-08	2,334	$1.34	2,334	$0.00
Common Stock	Warrant to Purchase Series B Preferred Stock (right to buy)	Disposition	2014-07-08	83,988	$1.34	83,988	$0.00
Common Stock	Warrant to Purchase Series C Preferred Stock (right to buy)	Disposition	2014-07-08	1,860	$1.45	1,860	$0.00
Common Stock	Warrant to Purchase Series C Preferred Stock (right to buy)	Disposition	2014-07-08	66,955	$1.45	66,955	$0.00
Common Stock	Warrant to Purchase Common Stock (right to buy)	Acquisiton	2014-07-08	74	$0.00	74	$42.00
Common Stock	Warrant to Purchase Common Stock (right to buy)	Acquisiton	2014-07-08	2,675	$0.00	2,675	$42.00
Common Stock	Warrant to Purchase Common Stock (right to buy)	Acquisiton	2014-07-08	59	$0.00	59	$45.36
Common Stock	Warrant to Purchase Common Stock (right to buy)	Acquisiton	2014-07-08	2,133	$0.00	2,133	$45.36

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
74	No	4	C	Indirect
2,675	No	4	C	Indirect
59	No	4	C	Indirect
2,133	No	4	C	Indirect

Footnotes

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.
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.
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.
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.
The general partner of the Sequel Entrepreneurs Fund III, L.P. and Sequel Limited Partnership III (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.