0001209191-16-107676.txt : 20160310
0001209191-16-107676.hdr.sgml : 20160310
20160310181947
ACCESSION NUMBER: 0001209191-16-107676
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160308
FILED AS OF DATE: 20160310
DATE AS OF CHANGE: 20160310
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35642
FILM NUMBER: 161498928
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-03-08
0
0001245104
GLOBEIMMUNE INC
GBIM
0001113661
MITCHELL DANIEL J
C/O SEQUEL LIMITED PARTNERSHIP
4430 ARAPAHOE AVE, STE 220
BOULDER
CO
80303
1
0
0
0
Common Stock
2016-03-08
4
S
0
5741
1.1402
D
224997
I
By Sequel Limited Partnership III
Common Stock
2016-03-08
4
S
0
159
1.1402
D
4166
I
By Sequel Entrepreneurs Fund III, LP
Common Stock
2016-03-09
4
S
0
5643
1.2091
D
219354
I
By Sequel Limited Partnership III
Common Stock
2016-03-09
4
S
0
157
1.2091
D
4009
I
By Sequel Entrepreneurs Fund III, LP
Common Stock
2016-03-10
4
S
0
4573
1.1587
D
214781
I
By Sequel Limited Partnership III
Common Stock
2016-03-10
4
S
0
127
1.1587
D
3882
I
By Sequel Entrepreneurs Fund III, LP
Common Stock
10000
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.11 to $1.16, 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 to this Form 4.
The general partner of the Sequel Limited Partnership III and Sequel Entrepreneurs Fund III, L.P. (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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.16 to $1.32, 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 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 $1.13 to $1.27, 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 to this Form 4.
/s/ Brent D. Fassett, Attorney-in-Fact for Daniel J. Mitchell
2016-03-10