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Filing Details

Accession Number:: 0001144204-17-055242
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2017-10-31 18:45:47
Reporting Period:: 2017-10-27

Accepted Time:: 2017-10-31 18:45:47
Original Submission Date:: 2017-05-22
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1437786	Immune Design Corp.	IMDZ	()	4/A

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1200183	Leo Guthart	C/O Topspin Fund L.p. Three Expressway Plaza Roslyn Heights NY 11577		No	No	Yes	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	Acquisiton	2017-10-27	2,439,000	$4.10	5,647,239	No	4	P	Indirect	See Note
Common Stock	Disposition	2017-10-31	2,500	$0.00	5,644,739	No	4	G	Indirect	See Note

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Note
No	4	G	Indirect	See Note

Footnotes

The transaction reported herein with a transaction date of October 27, 2017 was a purchase made by Topspin Fund L.P. That purchase was made in connection with the Issuer's issuance and sale of 19,500,000 shares of the Issuer's Common Stock as disclosed in the Issuer's Form 8-K filed with the Commission on October 25, 2017.
The transaction reported herein with a transaction date of October 31, 2017 was a bona fide gift made from an Individual Retirement Account in the name of Leo A. Guthart.
Leo A. Guthart is the managing member of LG Management, LLC, which is the general partner of Topspin Fund L.P., which, taking into account the transaction reported herein with a transaction date of October 27, 2017, is the direct beneficial owner of 5,526,514 shares of the Issuer's Common Stock. As a result, Leo A. Guthart may be deemed an indirect beneficial owner of the 5,526,514 shares of the Issuer's Common Stock directly beneficially owned by Topspin Fund L.P. However, Leo A. Guthart and LG Management, LLC disclaim beneficial ownership of the 5,526,514 shares of the Issuer's Common Stock directly beneficially owned by Topspin Fund L.P., except to the extent of their respective indirect pecuniary interests in such shares.
Taking into account the transaction reported herein with a transaction date of October 31, 2017, Individual Retirement Accounts in the name of Leo A. Guthart are the direct beneficial owners of a total of 118,225 shares of the Issuer's Common Stock and, as a result, Leo A. Guthart may be deemed an indirect beneficial owner of such shares. However, Leo A. Guthart disclaims beneficial ownership of such shares, except to the extent of his indirect pecuniary interest in such shares.
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned is intentionally omitted because there are no reportable transactions involving derivative securities.