Filing Details
- Accession Number:
- 0001144204-18-001673
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2018-01-10 15:00:30
- Reporting Period:
- 2018-01-08
- Accepted Time:
- 2018-01-10 15:00:30
- 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
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2018-01-08 | 20,000 | $3.90 | 5,664,739 | No | 4 | P | Indirect | See Note |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Note |
Footnotes
- The transaction reported herein was within a certain Individual Retirement Account in the name of Leo A. Guthart.
- Taking into account the transaction reported herein, Individual Retirement Accounts in the name of Leo A. Guthart are the direct beneficial owners of a total of 138,225 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.
- Leo A. Guthart is the managing member of LG Management, LLC, which is the general partner of Topspin Fund L.P., which 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.
- Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned is intentionally omitted because there are no reportable transactions involving derivative securities.