X0306 4 2016-02-11 0 0001245104 GLOBEIMMUNE INC GBIM 0001202615 HEALTHCARE VENTURES VII LP 47 THORNDIKE STREET SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001013473 CAVANAUGH JAMES H C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001330957 HealthCare Partners VII, L.P. 47 THORNDIKE STREET SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001262327 LAWLOR AUGUSTINE C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 1 0 1 0 0001013469 LITTLECHILD JOHN W C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001262326 Mirabelli Christopher C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001013603 WERNER HAROLD R C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 Common Stock 2016-02-11 4 S 0 5000 1.72 D 579267 I By Partnership Common Stock 2016-02-12 4 S 0 5000 1.59 D 574267 I By Partnership Common Stock 2016-02-16 4 S 0 5000 1.51 D 569267 I By Partnership The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.65 - $1.92, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote (1) to this Form 4. These securities are held of record by HealthCare Ventures VII, L.P. ("HCVVII"). HealthCare Partners VII, L.P. ("HCPVII") is the General Partner of HCVVII. Each of James Cavanaugh, Christopher Mirabelli, Harold Werner, John Littlechild and Augustine Lawlor are general partners of HCPVII and exercise shared voting and investment power with respect to the shares owned by HCVVII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of their proportionate pecuniary interest therein. In addition, Mr. Lawlor is a member of the Board of Directors of the Issuer. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.47 - $1.67, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote (3) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.47 - $1.56, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote (4) to this Form 4. /s/ Jeffrey B. Steinberg, Administrative Partner of HealthCare Partners VII, L.P., the GP of HealthCare Ventures VII, L.P. 2016-02-16 Jeffrey B. Steinberg, Attorney-in-Fact for James Cavanaugh 2016-02-16 Jeffrey B. Steinberg, Administrative Partner of HealthCare Partners VII, L.P. 2016-02-16 Jeffrey B. Steinberg, Attorney-in-Fact for Augustine Lawlor 2016-02-16 Jeffrey B. Steinberg, Attorney-in-Fact for John Littlechild 2016-02-16 Jeffrey B. Steinberg, Attorney-in-Fact for Christopher Mirabelli 2016-02-16 Jeffrey B. Steinberg, Attorney-in-fact for Harold Werner 2016-02-16