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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2016-03-21 16:22:55
Reporting Period:
Filing Date:
Accepted Time:
2016-03-21 16:22:55
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1245104 Globeimmune Inc GBIM Pharmaceutical Preparations (2834) 841353925
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1552293 Edward S. Torres C/o Lilly Ventures Fund I, Llc
115 W. Washington St., S Tower, Ste 1680
Indianapolis IN 46204
Yes No No 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 Disposition 2016-03-17 26,188 $1.67 241,706 No 4 S Indirect By Lilly Ventures Fund I, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Lilly Ventures Fund I, LLC
  1. The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.60 to $1.84 per share, inclusive. The reporting person undertakes to provide to GlobeImmune, Inc., any security holder of GlobeImmune, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1).
  2. These shares are owned directly by Lilly Ventures Fund I, LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein.