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
- 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 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.
- 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.