SEC Form 4/A · accession 0001144204-17-055242
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 27, 2017
Accepted (ET)
Oct 31, 2017 · 6:45 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,F3,F4,F5 | Oct 27, 2017 | P | 2,439,000 | $4.10 | A | 5,647,239 | I | See Note |
| Common StockF2,F3,F4,F5 | Oct 31, 2017 | G | 2,500 | $0.00 | D | 5,644,739 | I | See Note |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transaction reported herein with a transaction date of October 27, 2017 was a purchase made by Topspin Fund L.P. That purchase was made in connection with the Issuer's issuance and sale of 19,500,000 shares of the Issuer's Common Stock as disclosed in the Issuer's Form 8-K filed with the Commission on October 25, 2017.
- F2The transaction reported herein with a transaction date of October 31, 2017 was a bona fide gift made from an Individual Retirement Account in the name of Leo A. Guthart.
- F3Leo A. Guthart is the managing member of LG Management, LLC, which is the general partner of Topspin Fund L.P., which, taking into account the transaction reported herein with a transaction date of October 27, 2017, is the direct beneficial owner of 5,526,514 shares of the Issuer's Common Stock. As a result, Leo A. Guthart may be deemed an indirect beneficial owner of the 5,526,514 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 5,526,514 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.
- F4Taking into account the transaction reported herein with a transaction date of October 31, 2017, Individual Retirement Accounts in the name of Leo A. Guthart are the direct beneficial owners of a total of 118,225 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.
- F5Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned is intentionally omitted because there are no reportable transactions involving derivative securities.