SEC Form 4 · accession 0001209191-16-107020
GLOBEIMMUNE INC · GBIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Augustine Lawlor
Director
Period of report
Mar 4, 2016
Accepted (ET)
Mar 8, 2016 · 5:02 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 4, 2016 | S | 5,000 | $1.05 | D | 503,277 | I | By Partnership |
| Common StockF3,F2 | Mar 7, 2016 | S | 5,010 | $0.99 | D | 498,267 | I | By Partnership |
| Common StockF4,F2 | Mar 8, 2016 | S | 5,000 | $1.10 | D | 493,267 | 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 $1.03 to $1.07, inclusive. The Reporting Person undertakes 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. Mr. Lawlor, a member of the Board of Directors of the Issuer, is a general partner of HCPVII and, as such, exercises shared voting and investment power with respect to the shares owned by HCVVII. Mr. Lawlor disclaims beneficial ownership of such securities, except to the extent of his proportionate pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.81 to $1.03, inclusive. The Reporting Person undertakes 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 $1.10 to $1.12, inclusive. The Reporting Person undertakes 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