Filing Details
- Accession Number:
- 0001209191-14-046415
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-08 16:26:38
- Reporting Period:
- 2014-07-08
- Filing Date:
- 2014-07-08
- Accepted Time:
- 2014-07-08 16:26:38
- 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 |
---|---|---|---|---|---|---|---|
816284 | Celgene Corp /De/ | 86 Morris Avenue Summit NJ 07901 | No | No | Yes | No | |
1558852 | Celgene International Inc | 86 Morris Avenue C/O Celgene Corp Summit NJ 07901 | 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 | 2014-07-08 | 68,832 | $0.00 | 68,832 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2014-07-08 | 275,582 | $0.00 | 344,414 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2014-07-08 | 56,256 | $0.00 | 400,670 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2014-07-08 | 200,000 | $10.00 | 600,670 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
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 C Convertible Preferred Stock | Disposition | 2014-07-08 | 2,160,682 | $0.00 | 68,832 | $0.00 |
Common Stock | Series D Convertible Preferred Stock | Disposition | 2014-07-08 | 8,650,519 | $0.00 | 275,582 | $0.00 |
Common Stock | Series E Convertible Preferred Stock | Disposition | 2014-07-08 | 1,765,888 | $0.00 | 56,256 | $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 |
Footnotes
- Upon closing of the Issuer's initial public offering, each share of Series C Convertible Preferred Stock automatically converted at a ratio of 1-for-31.39 into the number of shares of Common Stock shown in column 7 without payment of further consideration. The shares had no expiration date.
- These shares are owned directly by Celgene International Inc. ("Celgene International"), a wholly-owned subsidiary of Celgene Corporation ("Celgene"), and Celgene has the power to vote, acquire, hold and dispose of all shares. Celgene disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein.
- Upon closing of the Issuer's initial public offering, each share of Series D Convertible Preferred Stock automatically converted at a ratio of 1-for-31.39 into the number of shares of Common Stock shown in column 7 withouth payment of further consideration. The shares had no expiration date.
- Upon closing of the Issuer's initial public offering, each share of Series E Convertible Preferred Stock automatically converted at a ration of 1-for-31.39 into the number of shares of Common Stock shown in column 7 without payment of further consideration. The shares had no expiration date.
- These shares are owned directly by Celgene. Celgene International disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein.