SEC Form 4 · accession 0001209191-16-098769
GLOBEIMMUNE INC · GBIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
John W Littlechild
10% Owner
James H Cavanaugh
10% Owner
Harold R Werner
10% Owner
HEALTHCARE VENTURES VII LP
10% Owner
Christopher Mirabelli
10% Owner
Augustine Lawlor
Director · 10% Owner
HealthCare Partners VII, L.P.
10% Owner
Period of report
Feb 11, 2016
Accepted (ET)
Feb 16, 2016 · 4:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001245104
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 11, 2016 | S | 5,000 | $1.72 | D | 579,267 | I | By Partnership |
| Common StockF3,F2 | Feb 12, 2016 | S | 5,000 | $1.59 | D | 574,267 | I | By Partnership |
| Common StockF4,F2 | Feb 16, 2016 | S | 5,000 | $1.51 | D | 569,267 | I | By Partnership |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.65 - $1.92, 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 (1) to this Form 4.
- F2These securities are held of record by HealthCare Ventures VII, L.P. ("HCVVII"). HealthCare Partners VII, L.P. ("HCPVII") is the General Partner of HCVVII. Each of James Cavanaugh, Christopher Mirabelli, Harold Werner, John Littlechild and Augustine Lawlor are general partners of HCPVII and exercise shared voting and investment power with respect to the shares owned by HCVVII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of their proportionate pecuniary interest therein. In addition, Mr. Lawlor is a member of the Board of Directors of the Issuer.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.47 - $1.67, 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 (3) to this Form 4.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.47 - $1.56, 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 (4) to this Form 4.