SEC Form 4 · accession 0001209191-18-043397
IMMUNE DESIGN CORP. · IMDZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen R Brady
Officer — EVP, Strategy & Finance
Period of report
Jul 17, 2018
Accepted (ET)
Jul 19, 2018 · 6:06 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 | $8.92 | Jul 17, 2018 | D | 27,525 | D | — | Jun 23, 2024 | Common Stock | 27,525 | 0 | D |
| Stock Option (Rt to Buy)F2,F3 | $4.40 | Jul 17, 2018 | A | 18,350 | A | — | Jul 17, 2025 | Common Stock | 18,350 | 18,350 | D |
| Stock Option (Rt to Buy)F4,F1 | $8.92 | Jul 17, 2018 | D | 12,230 | D | — | Jun 23, 2024 | Common Stock | 12,230 | 0 | D |
| Stock Option (Rt to Buy)F4,F3 | $4.40 | Jul 17, 2018 | A | 8,154 | A | — | Jul 17, 2025 | Common Stock | 8,154 | 8,154 | D |
| Stock Option (Rt to Buy)F6,F5 | $31.00 | Jul 17, 2018 | D | 2,838 | D | — | Jan 7, 2025 | Common Stock | 2,838 | 0 | D |
| Stock Option (Rt to Buy)F6,F3 | $4.40 | Jul 17, 2018 | A | 1,419 | A | — | Jul 17, 2025 | Common Stock | 1,419 | 1,419 | D |
| Stock Option (Rt to Buy)F7,F5 | $31.00 | Jul 17, 2018 | D | 47,162 | D | — | Jan 7, 2025 | Common Stock | 47,162 | 0 | D |
| Stock Option (Rt to Buy)F7,F3 | $4.40 | Jul 17, 2018 | A | 23,581 | A | — | Jul 17, 2025 | Common Stock | 23,581 | 23,581 | D |
| Stock Option (Rt to Buy)F9,F8 | $13.00 | Jul 17, 2018 | D | 50,000 | D | — | Oct 30, 2025 | Common Stock | 50,000 | 0 | D |
| Stock Option (Rt to Buy)F9,F3 | $4.40 | Jul 17, 2018 | A | 33,334 | A | — | Jul 17, 2025 | Common Stock | 33,334 | 33,334 | D |
| Stock Option (Rt to Buy)F11,F10 | $19.39 | Jul 17, 2018 | D | 5,054 | D | — | Jan 4, 2026 | Common Stock | 5,054 | 0 | D |
| Stock Option (Rt to Buy)F11,F3 | $4.40 | Jul 17, 2018 | A | 2,888 | A | — | Jul 17, 2025 | Common Stock | 2,888 | 2,888 | D |
| Stock Option (Rt to Buy)F12,F10 | $19.39 | Jul 17, 2018 | D | 69,946 | D | — | Jan 4, 2026 | Common Stock | 69,946 | 0 | D |
| Stock Option (Rt to Buy)F12,F3 | $4.40 | Jul 17, 2018 | A | 39,970 | A | — | Jul 17, 2025 | Common Stock | 39,970 | 39,970 | D |
| Stock Option (Rt to Buy)F14,F13 | $5.60 | Jul 17, 2018 | D | 14,216 | D | — | Jan 4, 2027 | Common Stock | 14,216 | 0 | D |
| Stock Option (Rt to Buy)F14,F15 | $4.40 | Jul 17, 2018 | A | 9,478 | A | — | Jul 17, 2025 | Common Stock | 9,478 | 9,478 | D |
| Stock Option (Rt to Buy)F16,F13 | $5.60 | Jul 17, 2018 | D | 70,784 | D | — | Jan 4, 2027 | Common Stock | 70,784 | 0 | D |
| Stock Option (Rt to Buy)F16,F15 | $4.40 | Jul 17, 2018 | A | 47,190 | A | — | Jul 17, 2025 | Common Stock | 47,190 | 47,190 | D |
Explanation of responses
- F1The option provided for vesting of 1/4th of the shares underlying the option on June 23, 2015 and the remainder of the shares at a rate of 1/36th per month thereafter.
- F10The 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.
- F11On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 5,054 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 2,888 shares, having an exercise price of $4.40 per share.
- F12On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 69,946 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 39,970 shares, having an exercise price of $4.40 per share.
- F13The option provided for vesting of 1/4th of the shares underlying the option on January 4, 2018 and the remainder of the shares at a rate of 1/36th per month thereafter.
- F14On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 14,216 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 9,478 shares, having an exercise price of $4.40 per share.
- F15The option vests in thirty six (36) equal consecutive monthly installments beginning on August 17, 2018.
- F16On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 70,784 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 47,190 shares, having an exercise price of $4.40 per share.
- F2On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 27,525 shares of the issuer's common stock granted to the reporting person on June 23, 2014. In exchange, the reporting person received a replacement option, for 18,350 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 12,230 shares of the issuer's common stock granted to the reporting person on June 23, 2014. In exchange, the reporting person received a replacement option, for 8,154 shares, having an exercise price of $4.40 per share.
- F5The option provided for vesting of 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.
- F6On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 2,838 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 1,419 shares, having an exercise price of $4.40 per share.
- F7On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 47,162 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 23,581 shares, having an exercise price of $4.40 per share.
- F8The 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.
- F9On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 50,000 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 33,334 shares, having an exercise price of $4.40 per share.