SEC Form 4 · accession 0001123292-15-001368
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
Nov 23, 2015
Accepted (ET)
Nov 24, 2015 · 8:01 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 Stock | Nov 23, 2015 | M | 5,000 | $1.31 | A | 5,034 | D | |
| Common Stock | Nov 23, 2015 | S | 5,000 | $20.00 | 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)F2 | $1.31 | Nov 23, 2015 | M | 5,000 | D | — | Dec 8, 2021 | Common Stock | 5,000 | 48,715 | D |
Explanation of responses
- F1The 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.
- F2One 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.