0001209191-16-109755.txt : 20160321 0001209191-16-109755.hdr.sgml : 20160321 20160321162255 ACCESSION NUMBER: 0001209191-16-109755 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160317 FILED AS OF DATE: 20160321 DATE AS OF CHANGE: 20160321 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GLOBEIMMUNE INC CENTRAL INDEX KEY: 0001245104 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 841353925 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1450 INFINITE DRIVE CITY: LOUISVILLE STATE: CO ZIP: 80027 BUSINESS PHONE: 3036252744 MAIL ADDRESS: STREET 1: 1450 INFINITE DRIVE CITY: LOUISVILLE STATE: CO ZIP: 80027 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Torres S. Edward CENTRAL INDEX KEY: 0001552293 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35642 FILM NUMBER: 161518945 MAIL ADDRESS: STREET 1: C/O LILLY VENTURES FUND I LLC STREET 2: 115 W. WASHINGTON ST, STE 1680 SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-03-17 0 0001245104 GLOBEIMMUNE INC GBIM 0001552293 Torres S. Edward C/O LILLY VENTURES FUND I, LLC 115 W. WASHINGTON ST., S TOWER, STE 1680 INDIANAPOLIS IN 46204 1 0 0 0 Common Stock 2016-03-17 4 S 0 26188 1.6663 D 241706 I By Lilly Ventures Fund I, LLC The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.60 to $1.84 per share, inclusive. The reporting person undertakes to provide to GlobeImmune, Inc., any security holder of GlobeImmune, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1). These shares are owned directly by Lilly Ventures Fund I, LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. /s/ Brent D. Fassett, Attorney-in-Fact for S. Edward Torres 2016-03-21