SEC Form 4 · accession 0001209191-16-101606

GLOBEIMMUNE INC · GBIM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Feb 19, 2016

Accepted (ET)

Feb 23, 2016 · 6:58 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 Stock^F1,F2	Feb 19, 2016	S	13,970	$1.4318	D	279,720	I	By Sequel Limited Partnership III
Common Stock^F1,F2	Feb 19, 2016	S	388	$1.4318	D	5,686	I	By Sequel Entrepreneurs Fund III, LP
Common Stock^F3,F2	Feb 22, 2016	S	5,643	$1.4264	D	274,077	I	By Sequel Limited Partnership III
Common Stock^F3,F2	Feb 22, 2016	S	157	$1.4264	D	5,529	I	By Sequel Entrepreneurs Fund III, LP
Common Stock^F2	Feb 23, 2016	S	2,627	$1.36	D	271,450	I	By Sequel Limited Partnership III
Common Stock^F2	Feb 23, 2016	S	73	$1.36	D	5,456	I	By Sequel Entrepreneurs Fund III, LP
Common Stock	holding	—	—		—	10,000	D

No Table II lines on this filing.

F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.41 to $1.475, 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.
F2The 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.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.40 to $1.44, 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.