SEC Form 4 · accession 0001123292-15-001188
IMMUNE DESIGN CORP. · IMDZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wayne Gombotz
Officer — Chief Development Officer
Period of report
Sep 14, 2015
Accepted (ET)
Sep 16, 2015 · 4:55 pm EDT
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 | Sep 14, 2015 | M | 5,000 | $1.31 | A | 5,034 | D | |
| Common StockF3 | Sep 14, 2015 | S | 5,000 | $16.191 | D | 34 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4 | $1.31 | Sep 14, 2015 | M | 5,000 | D | — | Dec 8, 2021 | Common Stock | 5,000 | 53,715 | D |
Explanation of responses
- F1Reflects the acquisition of 34 shares on June 30, 2015 pursuant to the Immune Design Corp. 2014 Employee Stock Purchase Plan.
- F2The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 31, 2015.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.01 to $16.62, inclusive. The reporting person undertakes to provide to Immune Design Corp. (the "Company"), any security holder of the Company, 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 ranges set forth in footnote 3 to this Form 4.
- F4One quarter of the shares underlying the option vested on December 1, 2012, and the remainder of the shares underlying the option vest at a rate of 1/36th per month thereafter.