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Filing Details

Accession Number:: 0001123292-14-000779
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-07-31 17:45:58
Reporting Period:: 2014-07-29

Filing Date:: 2014-07-31
Accepted Time:: 2014-07-31 17:45:58
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
1266567	G Brian Atwood	C/O Immune Design Corp. 1616 Eastlake Ave. E., Suite 310 Seattle WA 98102		Yes	No	Yes	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	2014-07-29	733,941	$0.00	733,941	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-07-29	531,840	$0.00	1,265,781	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-07-29	611,620	$0.00	1,877,401	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-07-29	305,810	$0.00	2,183,211	No	4	C	Indirect	See Footnote
Common Stock	Disposition	2014-07-29	208,334	$12.00	1,974,877	No	4	S	Indirect	See Footnote
Common Stock	Acquisiton	2014-07-29	233,333	$12.00	2,208,210	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	S	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Preferred Stock	Disposition	2014-07-29	733,941	$0.00	733,941	$0.00
Common Stock	Series B Preferred Stock	Disposition	2014-07-29	531,840	$0.00	531,840	$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	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	2013-10-16	No	4	X	Indirect
305,810		No	4	X	Indirect
0		No	4	C	Indirect

Footnotes

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.
The securities are directly held by Versant Venture Capital III, L.P. and Versant Side Fund III, L.P. (collectively, the "Versant Entities"). Mr. Atwood is a managing member of Versant Ventures III, L.L.C., the sole general partner of the Versant Entities and may be deemed to have shared voting and dispositive power over the shares owned by the Versant Entities. Mr. Atwood disclaims beneficial ownership of all shares held by the Versant Entities, except to the extent of his actual pecuniary interest therein.
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.
Immediately prior to the closing of the Issuer's initial public offering, the reporting person exercised a warrant to purchase 305,810 shares of the Issuer's Series C preferred stock for $8.175 per share, which then immediately converted into 305,810 shares of the Issuer's common stock. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 208,334 shares of the Issuer's common stock to pay the exercise price and issuing to the reporting person the remaining 97,476 shares of common stock.