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
- 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 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.
- 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.