SEC Form 4 · accession 0001209191-16-109755
GLOBEIMMUNE INC · GBIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
S. Edward Torres
Director
Period of report
Mar 17, 2016
Accepted (ET)
Mar 21, 2016 · 4:22 pm EDT
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 17, 2016 | S | 26,188 | $1.6663 | D | 241,706 | I | By Lilly Ventures Fund I, LLC |
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. The shares were sold in multiple transactions at prices ranging from $1.60 to $1.84 per share, inclusive. The reporting person undertakes to provide to GlobeImmune, Inc., any security holder of GlobeImmune, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1).
- F2These shares are owned directly by Lilly Ventures Fund I, LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein.