SEC Form 3 · accession 0001144204-16-126236
IMMUNE DESIGN CORP. · IMDZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Sep 20, 2016
Accepted (ET)
Sep 30, 2016 · 1:13 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 | holding | — | — | — | 3,087,514 | D | ||
| Common StockF2 | holding | — | — | — | 10,725 | I | Individual Retirement Accounts in the name of Leo A. Guthart |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares are directly held by Topspin Fund L.P. LG Management, LLC, the general partner of Topspin Fund L.P., may be deemed to have voting and dispositive power with respect to the shares. Leo A. Guthart, the managing member of LG Management, LLC, may also be deemed to have voting and dispositive power with respect to the shares. Each of LG Management, LLC and Leo A. Guthart disclaims beneficial ownership of the shares, except to the extent of their respective indirect pecuniary interests in such shares.
- F2Individual Retirement Accounts in the name of Leo A. Guthart own 10,725 shares of the Issuer's Common Stock and as a result Leo A Guthart may be deemed to be the beneficial owner of such shares. Leo A. Guthart disclaims beneficial ownership of such shares, except to the extent of his indirect pecuniary interest in such shares.