SEC Form 4 · accession 0001123292-15-000123
IMMUNE DESIGN CORP. · IMDZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward Penhoet
Director
Period of report
Jan 7, 2015
Accepted (ET)
Jan 9, 2015 · 4:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001437786
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | holding | — | — | — | 2,482,775 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3,F4 | $31.00 | Jan 7, 2015 | A | 9,300 | A | — | Jan 7, 2025 | Common Stock | 9,300 | 9,300 | D |
Explanation of responses
- F1All shares of common stock held by the Reporting Person are subject to a 180-day lockup agreement entered into by the Reporting Person in connection with the Issuer's initial public offering.
- F2The securities are directly held by Alta Partners VIII, L.P. ("Alta Partners"). Dr. Penhoet is a director of Alta Partners and may be deemed to have beneficial ownership of shares Alta Partners' interest in the Issuer. Dr. Penhoet disclaims beneficial ownership of shares held by entities affiliated with Alta Partners, except to the extent of his pecuniary interest therein.
- F3The shares issuable upon exercise of the options to purchase common stock held by the Reporting Person are subject to a 180-day lockup agreement entered into by the Reporting Person in connection with the Issuer's initial public offering.
- F4The shares underlying the options will become fully vested on January 1, 2016.