Filing Details

Accession Number:
0001123292-14-000778
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-31 17:45:00
Reporting Period:
2014-07-29
Filing Date:
2014-07-31
Accepted Time:
2014-07-31 17:45:00
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1437786 Immune Design Corp. IMDZ Pharmaceutical Preparations (2834) 262007174
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1198321 Farah Champsi One Embacadero Center
Suite 3700
San Francisco CA 94111
No No Yes No
1198325 Daniel Janney One Embarcadero Center
Suite 3700
San Francisco CA 94111
No No Yes No
1198330 P Guy Nohra One Embacadero Center
Suite 3700
San Francisco CA 94111
No No Yes No
1399763 Alta Partners Viii, L.p. One Embarcadero Center
Suite 3700
San Francisco CA 94111
No No Yes No
1399894 Alta Partners Management Viii, Llc One Embarcadero Center
Suite 3700
San Francisco CA 94111
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 2014-07-29 733,943 $0.00 733,943 No 4 C Direct
Common Stock Acquisiton 2014-07-29 531,843 $0.00 1,265,786 No 4 C Direct
Common Stock Acquisiton 2014-07-29 611,620 $0.00 1,877,406 No 4 C Direct
Common Stock Acquisiton 2014-07-29 305,810 $0.00 2,183,216 No 4 C Direct
Common Stock Acquisiton 2014-07-29 299,559 $12.00 2,482,775 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Direct
No 4 C Direct
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 Preferred Stock Disposition 2014-07-29 733,943 $0.00 733,943 $0.00
Common Stock Series B Preferred Stock Disposition 2014-07-29 531,843 $0.00 531,843 $0.00
Common Stock Series C Preferred Stock Disposition 2014-07-29 611,620 $0.00 611,620 $0.00
Series C Preferred Stock Series C Preferred Stock Warrant (right to buy) Disposition 2014-07-29 305,810 $0.00 305,810 $8.18
Common Stock Series C Preferred Stock Acquisiton 2014-07-29 305,810 $0.00 305,810 $0.00
Common Stock Series C Preferred Stock Disposition 2014-07-29 305,810 $0.00 305,810 $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
0 2013-10-16 No 4 X Direct
305,810 No 4 X Direct
0 No 4 C Direct
Footnotes
  1. Immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series A, Series B and Series C preferred stock automatically converted into one share of common stock. The Series A, Series B and Series C preferred stock had no expiration date.
  2. The securities are held of record by Alta Partners VIII, L.P. ("APVIII"). Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. Guy Nohra, Daniel Janney and Farah Champsi are managing directors of APMVIII and exercise shared voting and investment power with respect to the shares owned by APVIII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
  3. The warrants were set to expire on the earlier of: (a) October 15, 2015, (b) the latter of (i) 30 days after delivery to the warrant holder of the interim study report of a specified clinical trial by the Issuer or (ii) 30 days after notice to the warrant holder of the commencement of patient recruitment for specified studies or trials by the Issuer, (c) a liquidation event of the Issuer or (d) the closing of the Issuer's initial public offering.