SEC Form 4 · accession 0001209191-16-106737
GLOBEIMMUNE INC · GBIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel J Mitchell
Director
Period of report
Mar 3, 2016
Accepted (ET)
Mar 7, 2016 · 6:01 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 | Mar 3, 2016 | S | 1,654 | $1.1194 | D | 240,682 | I | By Sequel Limited Partnership III |
| Common StockF1,F2 | Mar 3, 2016 | S | 46 | $1.1194 | D | 4,601 | I | By Sequel Entrepreneurs Fund III, LP |
| Common StockF3,F2 | Mar 4, 2016 | S | 6,344 | $1.0181 | D | 234,338 | I | By Sequel Limited Partnership III |
| Common StockF3,F2 | Mar 4, 2016 | S | 176 | $1.0181 | D | 4,425 | I | By Sequel Entrepreneurs Fund III, LP |
| Common StockF4,F2 | Mar 7, 2016 | S | 3,600 | $1.0726 | D | 230,738 | I | By Sequel Limited Partnership III |
| Common StockF4,F2 | Mar 7, 2016 | S | 100 | $1.0726 | D | 4,325 | I | By Sequel Entrepreneurs Fund III, LP |
| Common Stock | holding | — | — | — | 10,000 | D |
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 $1.10 to $1.18, 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 $0.9606 to $1.05, 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.02 to $1.16, 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.