SEC Form 4 · accession 0001209191-18-043395
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
Jul 17, 2018
Accepted (ET)
Jul 19, 2018 · 6:03 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 | $31.00 | Jul 17, 2018 | D | 6,575 | D | — | Jan 7, 2025 | Common Stock | 6,575 | 0 | D |
| Stock Option (Rt to Buy)F2,F3 | $4.40 | Jul 17, 2018 | A | 3,288 | A | — | Jul 17, 2025 | Common Stock | 3,288 | 3,288 | D |
| Stock Option (Rt to Buy)F4,F1 | $31.00 | Jul 17, 2018 | D | 8,425 | D | — | Jan 7, 2025 | Common Stock | 8,425 | 0 | D |
| Stock Option (Rt to Buy)F4,F3 | $4.40 | Jul 17, 2018 | A | 4,213 | A | — | Jul 17, 2025 | Common Stock | 4,213 | 4,213 | D |
| Stock Option (Rt to Buy)F6,F5 | $13.00 | Jul 17, 2018 | D | 40,000 | D | — | Oct 30, 2025 | Common Stock | 40,000 | 0 | D |
| Stock Option (Rt to Buy)F6,F3 | $4.40 | Jul 17, 2018 | A | 26,667 | A | — | Jul 17, 2025 | Common Stock | 26,667 | 26,667 | D |
| Stock Option (Rt to Buy)F8,F7 | $19.39 | Jul 17, 2018 | D | 5,906 | D | — | Jan 4, 2026 | Common Stock | 5,906 | 0 | D |
| Stock Option (rt to Buy)F8,F3 | $4.40 | Jul 17, 2018 | A | 3,375 | A | — | Jul 17, 2025 | Common Stock | 3,375 | 3,375 | D |
| Stock Option (Rt to Buy)F9,F7 | $19.39 | Jul 17, 2018 | D | 54,094 | D | — | Jan 4, 2026 | Common Stock | 54,094 | 0 | D |
| Stock Option (Rt to Buy)F9,F3 | $4.40 | Jul 17, 2018 | A | 30,911 | A | — | Jul 17, 2025 | Common Stock | 30,911 | 30,911 | D |
Explanation of responses
- F1The option provided for 1/4th of the shares underlying the option on January 1, 2016 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 6,575 shares of the issuer's common stock granted to the reporting person on January 7, 2015. In exchange, the reporting person received a replacement option, for 3,288 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 8,425 shares of the issuer's common stock granted to the reporting person on January 7, 2015. In exchange, the reporting person received a replacement option, for 4,213 shares, having an exercise price of $4.40 per share.
- F5The option provided for vesting of 37.5% of the option on each of October 30, 2016 and 2017 with the remainder of the shares underlying the option on October 30, 2018.
- F6On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 40,000 shares of the issuer's common stock granted to the reporting person on October 30, 2015. In exchange, the reporting person received a replacement option, for 26,667 shares, having an exercise price of $4.40 per share.
- F7The option provided for vesting of 1/4th of the shares underlying the option on January 4, 2017 and the remainder of the shares underlying the option at a rate of 1/36th per month thereafter.
- F8On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 5,906 shares of the issuer's common stock granted to the reporting person on January 4, 2016. In exchange, the reporting person received a replacement option, for 3,375 shares, having an exercise price of $4.40 per share.
- F9On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 54,094 shares of the issuer's common stock granted to the reporting person on January 4, 2016. In exchange, the reporting person received a replacement option, for 30,911 shares, having an exercise price of $4.40 per share.