SEC Form 4 · accession 0001209191-18-043393
IMMUNE DESIGN CORP. · IMDZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sergey Yurasov
Officer — Sr. VP, Clinic. Devel. & CMO
Period of report
Jul 17, 2018
Accepted (ET)
Jul 19, 2018 · 6:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001437786
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Rt to Buy)F2,F1 | $7.58 | Jul 17, 2018 | D | 52,768 | D | — | Oct 1, 2025 | Common Stock | 52,768 | 0 | D |
| Stock Option (Rt to Buy)F2,F3 | $4.40 | Jul 17, 2018 | A | 35,179 | A | — | Jul 17, 2025 | Common Stock | 35,179 | 35,179 | D |
| Stock Option (Rt to Buy)F4,F1 | $7.58 | Jul 17, 2018 | D | 87,232 | D | — | Oct 1, 2025 | Common Stock | 87,232 | 0 | D |
| Stock Option (Rt to Buy)F4,F3 | $4.40 | Jul 17, 2018 | A | 58,155 | A | — | Jul 17, 2025 | Common Stock | 58,155 | 58,155 | D |
| Stock Option (Rt to Buy)F6,F5 | $5.60 | Jul 17, 2018 | D | 625 | D | — | Jan 4, 2027 | Common Stock | 625 | 0 | D |
| Stock Option (Rt to Buy)F6,F7 | $4.40 | Jul 17, 2018 | A | 417 | A | — | Jul 17, 2025 | Common Stock | 417 | 417 | D |
| Stock Option (Rt to Buy)F8,F5 | $5.60 | Jul 17, 2018 | D | 29,375 | D | — | Jan 4, 2027 | Common Stock | 29,375 | 0 | D |
| Stock Option (Rt to Buy)F8,F7 | $4.40 | Jul 17, 2018 | A | 19,584 | A | — | Jul 17, 2025 | Common Stock | 19,584 | 19,584 | D |
Explanation of responses
- F1The option provided for vesting of 1/4th of the shares underlying the option on October 1, 2017 and the remainder of the shares at a rate of 1/36th per month thereafter.
- F2On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 52,768 shares of the issuer's common stock granted to the reporting person on October 1, 2016. In exchange, the reporting person received a replacement option, for 35,179 shares, having an exercise price of $4.40 per share.
- F3The option vests in twenty four (24) equal consecutive monthly installments beginning on August 17, 2018.
- F4On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 87,232 shares of the issuer's common stock granted to the reporting person on November 1, 2016. In exchange, the reporting person received a replacement option, for 58,155 shares, having an exercise price of $4.40 per share.
- F5The option provided for 1/4th of the shares underlying the option on January 4, 2018 and the remainder of the shares underlying the option at a rate of 1/36th per month thereafter.
- F6On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 625 shares of the issuer's common stock granted to the reporting person on January 4, 2017. In exchange, the reporting person received a replacement option, for 417 shares, having an exercise price of $4.40 per share.
- F7The option vests in thirty six (36) equal consecutive monthly installments beginning on August 17, 2018.
- F8On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 29,375 shares of the issuer's common stock granted to the reporting person on January 4, 2017. In exchange, the reporting person received a replacement option, for 19,584 shares, having an exercise price of $4.40 per share.