SEC Form 4 · accession 0001209191-16-100441
GLOBEIMMUNE INC · GBIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
John W Littlechild
Other
James H Cavanaugh
Other
Harold R Werner
Other
Augustine Lawlor
Director · Other
Period of report
Feb 17, 2016
Accepted (ET)
Feb 19, 2016 · 3:50 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 17, 2016 | S | 5,000 | $1.53 | D | 564,267 | I | By Partnership |
| Common StockF3,F2 | Feb 18, 2016 | S | 5,000 | $1.40 | D | 559,267 | I | By Partnership |
| Common StockF4,F2 | Feb 19, 2016 | S | 5,000 | $1.39 | D | 554,267 | 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 $1.48 - $1.56, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the 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 $1.40 - $1.44, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the 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 $1.35 - $1.42, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the 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.
Remarks
As of the date of event requiring this filing, the Reporting Persons are no longer 10% owners of the equity securities of the Issuer and, accordingly, except as noted in the next sentence, the Reporting Persons are no longer subject to Section 16 reporting in connection with their transactions in the equity securities of the Issuer. Mr. Lawlor is a director of the Issuer and in that capacity continues to have a filing obligation under Section 16.