0001209191-14-047296.txt : 20140715 0001209191-14-047296.hdr.sgml : 20140715 20140715202458 ACCESSION NUMBER: 0001209191-14-047296 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140708 FILED AS OF DATE: 20140715 DATE AS OF CHANGE: 20140715 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: MITCHELL DANIEL J CENTRAL INDEX KEY: 0001113661 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-35642 FILM NUMBER: 14976861 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2014-07-08 2014-07-09 0 0001245104 GLOBEIMMUNE INC GBIM 0001113661 MITCHELL DANIEL J C/O SEQUEL LIMITED PARTNERSHIP III 4430 ARAPAHOE AVENUE, SUITE 220 BOULDER CO 80303 1 0 0 0 Warrant to Purchase Common Stock (right to buy) 42.00 2014-07-08 4 C 0 74 0.00 A 2019-07-08 Common Stock 74 74 I By Sequel Entrepreneurs Fund III, LP Warrant to Purchase Common Stock (right to buy) 42.00 2014-07-08 4 C 0 2675 0.00 A 2019-07-08 Common Stock 2675 2675 I By Sequel Limited Partnership III Warrant to Purchase Common Stock (right to buy) 45.36 2014-07-08 4 C 0 59 0.00 A 2019-07-08 Common Stock 59 59 I By Sequel Entrepreneurs Fund III, LP Warrant to Purchase Common Stock (right to buy) 45.36 2014-07-08 4 C 0 2133 0.00 A 2019-07-08 Common Stock 2133 2133 I By Sequel Limited Partnership III Represents warrants to purchase shares of common stock of the Issuer following the conversion of the Series B Convertible Preferred Stock and Series C Convertible Preferred Stock on a 1-for-31.39 share basis. The number of shares and price per share reported herein reflects such conversion. The Warrant is immediately exercisable at any time at the option of the holder. The general partner of the Sequel Entrepreneurs Fund III, L.P. and Sequel Limited Partnership III (collectively, the "Sequel Funds") is Sequel Venture Partners III, L.L.C. ("SVP III"). SVP III may be deemed to indirectly beneficially own the shares owned by the Sequel Funds. The Reporting Person is a manager of SVP III and may be deemed to be the indirect beneficial owner of the shares owned by the Sequel Funds. The Reporting Person disclaims beneficial ownership of the shares held by the Sequel Funds, except to the extent of his pecuniary interest arising therein. The Reporting Person is filing this amendment to correct the expiration date of the warrant. /s/ Matthew P. Dubofsky, Attorney-in-Fact 2014-07-15