Home > Insider Trading > Filing (0001209191-16-097090)

Filing Details

Accession Number:: 0001209191-16-097090
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-02-09 19:17:32
Reporting Period:: 2016-02-05

Filing Date:: 2016-02-09
Accepted Time:: 2016-02-09 19:17:32
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
1113661	J Daniel Mitchell	C/O Sequel Limited Partnership 4430 Arapahoe Ave, Ste 220 Boulder CO 80303		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2016-02-05	1,265	$2.28	324,380	No	4	S	Indirect	By Sequel Limited Partnership III
Common Stock	Disposition	2016-02-05	35	$2.28	6,926	No	4	S	Indirect	By Sequel Entrepreneurs Fund III, LP
Common Stock	Disposition	2016-02-08	3,113	$2.01	321,267	No	4	S	Indirect	By Sequel Limited Partnership III
Common Stock	Disposition	2016-02-08	87	$2.01	6,839	No	4	S	Indirect	By Sequel Entrepreneurs Fund III, LP
Common Stock	Disposition	2016-02-09	2,724	$1.99	318,543	No	4	S	Indirect	By Sequel Limited Partnership III
Common Stock	Disposition	2016-02-09	76	$1.99	6,763	No	4	S	Indirect	By Sequel Entrepreneurs Fund III, LP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By Sequel Limited Partnership III
No	4	S	Indirect	By Sequel Entrepreneurs Fund III, LP
No	4	S	Indirect	By Sequel Limited Partnership III
No	4	S	Indirect	By Sequel Entrepreneurs Fund III, LP
No	4	S	Indirect	By Sequel Limited Partnership III
No	4	S	Indirect	By Sequel Entrepreneurs Fund III, LP

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	10,000	Direct

Footnotes

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.23 to $2.29, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote to this Form 4.
The general partner of the Sequel Limited Partnership III and Sequel Entrepreneurs Fund III, L.P. (collectively, the "Sequel Funds") is Sequel Venture Partners III, L.L.C. ("SVP III"). SVP III may be deemed to indirectly beneficially own the shares owned by the Sequel Funds. The Reporting Person is a manager of SVP III and may be deemed to be the indirect beneficial owner of the shares owned by the Sequel Funds. The Reporting Person disclaims beneficial ownership of the shares held by the Sequel Funds, except to the extent of his pecuniary interest arising therein.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00 to $2.04, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.99 to $2.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote to this Form 4.