Filing Details

Accession Number:
0001123292-14-000784
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-31 17:52:24
Reporting Period:
2014-07-29
Filing Date:
2014-07-31
Accepted Time:
2014-07-31 17:52:24
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
1606074 Peter Svennilson C/O Immune Design Corp.
1616 Eastlake Ave. E., Suite 310
Seattle WA 98102
Yes 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 Indirect See Footnote
Common Stock Acquisiton 2014-07-29 744,580 $0.00 1,478,523 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-07-29 856,269 $0.00 2,334,792 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-07-29 428,134 $0.00 2,762,926 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-07-29 399,016 $12.00 3,161,942 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 P Indirect See Footnote
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 2014-07-29 744,580 $0.00 744,580 $0.00
Common Stock Series C Preferred Stock Disposition 2014-07-29 856,269 $0.00 856,269 $0.00
Series C Preferred Stock Series C Preferred Stock Warrant (right to buy) Disposition 2014-07-29 428,134 $0.00 428,134 $8.18
Common Stock Series C Preferred Stock Acquisiton 2014-07-29 428,134 $0.00 428,134 $0.00
Common Stock Series C Preferred Stock Disposition 2014-07-29 428,134 $0.00 428,134 $0.00
Remaning Holdings Exercise Date Expiration 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
428,134 No 4 X Indirect
0 No 4 C Indirect
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 directly held by The Column Group, LP ("The Column Group") and indirectly held by The Column Group, GP, LP ("TCG GP"), the general partner of The Column Group. TCG GP has voting and dispositive power with respect to the shares owned by The Column Group. Mr. Svennilson is a managing partner of TCG GP and may be deemed to have shared voting and dispositive power over the shares owned by The Column Group. Mr. Svennilson disclaims beneficial ownership of all shares held by The Column Group, except to the extent of his actual 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.