Filing Details
- Accession Number:
- 0001123292-14-000785
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-31 17:53:20
- Reporting Period:
- 2014-07-29
- Filing Date:
- 2014-07-31
- Accepted Time:
- 2014-07-31 17:53:20
- 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 |
---|---|---|---|---|---|---|---|
1456585 | Versant Side Fund Iii, L.p. | 3000 Sand Hill Road Building 4, Suite 210 Menlo Park CA 94025 | No | No | Yes | No | |
1456586 | Versant Venture Capital Iii, L.p. | 3000 Sand Hill Road Building 4, Suite 210 Menlo Park CA 94025 | 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 | 733,941 | $0.00 | 733,941 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2014-07-29 | 531,840 | $0.00 | 1,265,781 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2014-07-29 | 611,620 | $0.00 | 1,877,401 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2014-07-29 | 305,810 | $0.00 | 2,183,211 | No | 4 | C | Direct | |
Common Stock | Disposition | 2014-07-29 | 208,334 | $12.00 | 1,974,877 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2014-07-29 | 233,333 | $12.00 | 2,208,210 | 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 | S | 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 | 733,941 | $0.00 | 733,941 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2014-07-29 | 531,840 | $0.00 | 531,840 | $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 convertible preferred stock automatically converted into one share of common stock. The Series A, Series B and Series C convertible preferred stock had no expiration date.
- The securities are directly held by Versant Venture Capital III, L.P. and Versant Side Fund III, L.P. (together with Versant Venture Capital III, L.P., "Versant Capital") and indirectly held by Versant Ventures III, LLC ("Versant Ventures"), the sole general partner of Versant Capital. Versant Ventures has voting and dispositive power with respect to these shares. The individual managing members of Versant Ventures are Brian G. Atwood, Bradley J. Bolzon, Samuel D. Colella, Ross A. Jaffe, Barbara N. Lubash, Donald B. Milder, William J. Link, Rebecca B. Robertson and Charles M. Warden, all of whom share voting and investment 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.