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Filing Details

Accession Number:: 0001123292-14-000783
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-07-31 17:50:16
Reporting Period:: 2014-07-29

Filing Date:: 2014-07-31
Accepted Time:: 2014-07-31 17:50:16
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	Director	Officer	Large Shareholder	Other
1033508	Jay Moorin	2430 Vanderbilt Beach Road, 108-190 Naples FL 34109	No	No	Yes	No
1225149	Alain Schreiber	2430 Vanderbilt Beach Roard, 108-190 Naples FL 34109	No	No	Yes	No
1431818	Proquest Investments Iv, L.p.	2430 Vanderbiilt Beach Road, 108-190 Naples FL 34109	No	No	Yes	No
1431819	Proquest Associates Iv Llc	2430 Vanderbilut Beach Road, 108-190 Naples FL 34109	No	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
Common Stock	Acquisiton	2014-07-29	1,595,530	$0.00	1,595,530	No	4	C	Direct
Common Stock	Acquisiton	2014-07-29	611,620	$0.00	2,207,150	No	4	C	Direct
Common Stock	Acquisiton	2014-07-29	305,810	$0.00	2,512,960	No	4	C	Direct
Common Stock	Disposition	2014-07-29	208,334	$12.00	2,304,626	No	4	S	Direct
Common Stock	Acquisiton	2014-07-29	391,131	$12.00	2,695,757	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	S	Direct
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Preferred Stock	Disposition	2014-07-29	1,595,530	$0.00	1,595,530	$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	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 directly held by ProQuest Investments IV, L.P. and indirectly held by ProQuest Associates IV, LLC, the General Partner of ProQuest Investments IV, L.P. The individual managing members of ProQuest Associates IV, LLC are Jay Moorin and Alain Schreiber, M.D., and may be deemed to have shared voting, investment and dispositive power with respect to these shares. Each individual managing member disclaims beneficial ownership of these shares, except to the extent of their pecuniary interest in such shares.
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.