SEC Form 4/A · accession 0001144204-17-053790
IMMUNE DESIGN CORP. · IMDZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Leo Guthart
10% Owner
Period of report
Oct 20, 2017
Accepted (ET)
Oct 24, 2017 · 3:14 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,F2,F3,F4 | Oct 20, 2017 | P | 10,000 | $5.26 | A | 3,158,239 | I | See Note |
| Common StockF1,F2,F3,F4 | Oct 20, 2017 | P | 10,000 | $5.25 | A | 3,168,239 | I | See Note |
| Common StockF1,F2,F3,F4 | Oct 24, 2017 | P | 20,000 | $4.35 | A | 3,188,239 | I | See Note |
| Common StockF1,F2,F3,F4 | Oct 24, 2017 | P | 10,000 | $4.3465 | A | 3,198,239 | I | See Note |
| Common StockF1,F2,F3,F4 | Oct 24, 2017 | P | 10,000 | $4.3426 | A | 3,208,239 | I | See Note |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transactions reported herein were within a certain Individual Retirement Account in the name of Leo A. Guthart.
- F2Taking into account the transactions reported herein, Individual Retirement Accounts in the name of Leo A. Guthart are the direct beneficial owners of a total of 120,725 shares of the Issuer's Common Stock and, as a result, Leo A. Guthart may be deemed an indirect beneficial owner of such shares. However, Leo A. Guthart disclaims beneficial ownership of such shares, except to the extent of his indirect pecuniary interest in such shares.
- F3Leo A. Guthart is the managing member of LG Management, LLC, which is the general partner of Topspin Fund L.P., which is the direct beneficial owner of 3,087,514 shares of the Issuer's Common Stock. As a result, Leo A. Guthart may be deemed an indirect beneficial owner of the 3,087,514 shares of the Issuer's Common Stock directly beneficially owned by Topspin Fund L.P. However, Leo A. Guthart and LG Management, LLC disclaim beneficial ownership of the 3,087,514 shares of the Issuer's Common Stock directly beneficially owned by Topspin Fund L.P., except to the extent of their respective indirect pecuniary interests in such shares.
- F4Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned is intentionally omitted because there are no reportable transactions involving derivative securities.