0001144204-15-009394.txt : 20150218 0001144204-15-009394.hdr.sgml : 20150216 20150217081434 ACCESSION NUMBER: 0001144204-15-009394 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150217 DATE AS OF CHANGE: 20150217 GROUP MEMBERS: GARY J. MORGENTHALER GROUP MEMBERS: GARY R. LITTLE GROUP MEMBERS: JOHN D. LUTSI GROUP MEMBERS: MORGENTHALER MANAGEMENT PARTNERS VII, LLC GROUP MEMBERS: PETER G. TAFT GROUP MEMBERS: ROBERT C. BELLAS, JR. GROUP MEMBERS: ROBERT D. PAVEY SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88221 FILM NUMBER: 15618010 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORGENTHALER PARTNERS VII LP CENTRAL INDEX KEY: 0001162183 IRS NUMBER: 341949423 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 50 PUBLIC SQUARE STREET 2: SUITE 2700 CITY: CLEVELAND STATE: OH ZIP: 44113 BUSINESS PHONE: 216-416-7500 MAIL ADDRESS: STREET 1: 50 PUBLIC SQUARE STREET 2: SUITE 2700 CITY: CLEVELAND STATE: OH ZIP: 44113 SC 13G/A 1 v401564_sc13ga.htm SC 13G/A

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Schedule 13G
(Rule 13d-102)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b)

(Amendment No. 1)*

 

GlobeImmune, Inc.
(Name of Issuer)
 
Common Stock
(Title of Class of Securities)
 
37957B100
(CUSIP Number)
 
December 31, 2014
(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

¨Rule 13d-1(b)

xRule 13d-1(c)

¨Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

(Continued on following pages)

 

Page 1 of 15

 

Exhibit Index on Page 14

 

 
 

 

CUSIP #37957B100 Page 2 of 15

 

1 NAME OF REPORTING PERSONS          Morgenthaler Partners VII, L.P. (“Morgenthaler VII”)
2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)      ¨      (b)      x

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH		 5 SOLE VOTING POWER
539,347 shares, except that Morgenthaler Management Partners VII, LLC (“Morgenthaler VII GP”), the general partner of Morgenthaler VII, may be deemed to have sole power to vote these shares, and Robert C. Bellas, Jr. (“Bellas”), Gary R. Little (“Little”), John D. Lutsi (“Lutsi”), Gary J. Morgenthaler (“Morgenthaler”), Robert D. Pavey (“Pavey”) and Peter G. Taft (“Taft”), the managing members of Morgenthaler VII GP, may be deemed to have shared power to vote these shares.
6 SHARED VOTING POWER
See response to row 5.
7 SOLE DISPOSITIVE POWER
539,347 shares, except that Morgenthaler VII GP, the general partner of Morgenthaler VII, may be deemed to have sole power to dispose of these shares, and Bellas, Little, Lutsi, Morgenthaler, Pavey and Taft, the managing members of Morgenthaler VII GP, may be deemed to have shared power to dispose of these shares.
8 SHARED DISPOSITIVE POWER
See response to row 7.
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON                                                                                                                  539,347
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES                                                                                                               ¨
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
                                                                                                                                                         9.4%
12 TYPE OF REPORTING PERSON                                                                                                 PN
       
 
 

 

CUSIP #37957B100 Page 3 of 15

 

1 NAME OF REPORTING PERSONS          Morgenthaler Management Partners VII, LLC (“Morgenthaler VII GP”)
2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)      ¨      (b)      x

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH		 5 SOLE VOTING POWER
539,347 shares, all of which are directly owned by Morgenthaler Partners VII, L.P. (“Morgenthaler VII”).  Morgenthaler VII GP, the general partner of Morgenthaler VII,  may be deemed to have sole power to vote these shares, and Robert C. Bellas, Jr. (“Bellas”), Gary R. Little (“Little”), John D. Lutsi (“Lutsi”), Gary J. Morgenthaler (“Morgenthaler”), Robert D. Pavey (“Pavey”) and Peter G. Taft (“Taft”), the managing members of Morgenthaler VII GP, may be deemed to have shared power to vote these shares.
6 SHARED VOTING POWER
See response to row 5.
7 SOLE DISPOSITIVE POWER
539,347 shares, all of which are directly owned by Morgenthaler VII.  Morgenthaler VII GP, the general partner of Morgenthaler VII,  may be deemed to have sole power to dispose of these shares, and Bellas, Little, Lutsi, Morgenthaler, Pavey and Taft, the managing members of Morgenthaler VII GP, may be deemed to have shared power to dispose of these shares.
8 SHARED DISPOSITIVE POWER
See response to row 7.
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON                                                                                                                  539,347
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES                                                                                                               ¨
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
                                                                                                                                                         9.4%
12 TYPE OF REPORTING PERSON                                                                                                 OO
       

 
 

 

CUSIP #37957B100 Page 4 of 15

 

1 NAME OF REPORTING PERSONS          Robert C. Bellas, Jr. (“Bellas”)
2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)      ¨      (b)      x

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH		 5 SOLE VOTING POWER
- 0 -
6 SHARED VOTING POWER
539,347 shares, all of which are directly owned by Morgenthaler Partners VII, L.P. (“Morgenthaler VII”).  Morgenthaler Management Partners VII, LLC (“Morgenthaler VII GP”) is the general partner of Morgenthaler VII, and Bellas, a managing member of Morgenthaler VII GP, may be deemed to have shared power to vote these shares.
7 SOLE DISPOSITIVE POWER
- 0 -
8 SHARED DISPOSITIVE POWER
539,347 shares, all of which are directly owned by Morgenthaler VII.  Morgenthaler VII GP is the general partner of Morgenthaler VII, and Bellas, a managing member of Morgenthaler VII GP, may be deemed to have shared power to dispose of these shares.
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON                                                                                                                  539,347
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES                                                                                                               ¨
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
                                                                                                                                                         9.4%
12 TYPE OF REPORTING PERSON                                                                                                 IN
       

 
 

 

CUSIP #37957B100 Page 5 of 15

 

1 NAME OF REPORTING PERSONS          Gary R. Little (“Little”)
2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)      ¨      (b)      x

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH		 5 SOLE VOTING POWER
- 0 -
6 SHARED VOTING POWER
539,347 shares, all of which are directly owned by Morgenthaler Partners VII, L.P. (“Morgenthaler VII”).  Morgenthaler Management Partners VII, LLC (“Morgenthaler VII GP”) is the general partner of Morgenthaler VII, and Little, a managing member of Morgenthaler VII GP, may be deemed to have shared power to vote these shares.
7 SOLE DISPOSITIVE POWER
- 0 -
8 SHARED DISPOSITIVE POWER
539,347 shares, all of which are directly owned by Morgenthaler VII.  Morgenthaler VII GP is the general partner of Morgenthaler VII, and Little, a managing member of Morgenthaler VII GP, may be deemed to have shared power to dispose of these shares.
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON                                                                                                                  539,347
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES                                                                                                               ¨
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
                                                                                                                                                         9.4%
12 TYPE OF REPORTING PERSON                                                                                                 IN
       

 
 

 

CUSIP #37957B100 Page 6 of 15

 

1 NAME OF REPORTING PERSONS          John D. Lutsi (“Lutsi”)
2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)      ¨      (b)      x

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH		 5 SOLE VOTING POWER
- 0 -
6 SHARED VOTING POWER
539,347 shares, all of which are directly owned by Morgenthaler Partners VII, L.P. (“Morgenthaler VII”).  Morgenthaler Management Partners VII, LLC (“Morgenthaler VII GP”) is the general partner of Morgenthaler VII, and Lutsi, a managing member of Morgenthaler VII GP, may be deemed to have shared power to vote these shares.
7 SOLE DISPOSITIVE POWER
- 0 -
8 SHARED DISPOSITIVE POWER
539,347 shares, all of which are directly owned by Morgenthaler VII.  Morgenthaler VII GP is the general partner of Morgenthaler VII, and Lutsi, a managing member of Morgenthaler VII GP, may be deemed to have shared power to dispose of these shares.
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON                                                                                                                  539,347
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES                                                                                                               ¨
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
                                                                                                                                                         9.4%
12 TYPE OF REPORTING PERSON                                                                                                 IN
       
 
 

 

CUSIP #37957B100 Page 7 of 15

 

1 NAME OF REPORTING PERSONS          Gary J. Morgenthaler (“Morgenthaler”)
2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)      ¨      (b)      x

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH		 5 SOLE VOTING POWER
- 0 -
6 SHARED VOTING POWER
539,347 shares, all of which are directly owned by Morgenthaler Partners VII, L.P. (“Morgenthaler VII”).  Morgenthaler Management Partners VII, LLC (“Morgenthaler VII GP”) is the general partner of Morgenthaler VII, and Morgenthaler, a managing member of Morgenthaler VII GP, may be deemed to have shared power to vote these shares.
7 SOLE DISPOSITIVE POWER
- 0 -
8 SHARED DISPOSITIVE POWER
539,347 shares, all of which are directly owned by Morgenthaler VII.  Morgenthaler VII GP is the general partner of Morgenthaler VII, and Morgenthaler, a managing member of Morgenthaler VII GP, may be deemed to have shared power to dispose of these shares.
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON                                                                                                                  539,347
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES                                                                                                               ¨
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
                                                                                                                                                         9.4%
12 TYPE OF REPORTING PERSON                                                                                                 IN
       
 
 

 

CUSIP #37957B100 Page 8 of 15

 

1 NAME OF REPORTING PERSONS          Robert D. Pavey (“Pavey”)
2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)      ¨      (b)      x

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH		 5 SOLE VOTING POWER
- 0 -
6 SHARED VOTING POWER
539,347 shares, all of which are directly owned by Morgenthaler Partners VII, L.P. (“Morgenthaler VII”).  Morgenthaler Management Partners VII, LLC (“Morgenthaler VII GP”) is the general partner of Morgenthaler VII, and Pavey, a managing member of Morgenthaler VII GP, may be deemed to have shared power to vote these shares.
7 SOLE DISPOSITIVE POWER
- 0 -
8 SHARED DISPOSITIVE POWER
539,347 shares, all of which are directly owned by Morgenthaler VII.  Morgenthaler VII GP is the general partner of Morgenthaler VII, and Pavey, a managing member of Morgenthaler VII GP, may be deemed to have shared power to dispose of these shares.
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON                                                                                                                  539,347
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES                                                                                                               ¨
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
                                                                                                                                                         9.4%
12 TYPE OF REPORTING PERSON                                                                                                 IN
       

 
 

 

CUSIP #37957B100 Page 9 of 15

 

1 NAME OF REPORTING PERSONS          Peter G. Taft (“Taft”)
2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)      ¨      (b)      x

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH		 5 SOLE VOTING POWER
- 0 -
6 SHARED VOTING POWER
539,347 shares, all of which are directly owned by Morgenthaler Partners VII, L.P. (“Morgenthaler VII”).  Morgenthaler Management Partners VII, LLC (“Morgenthaler VII GP”) is the general partner of Morgenthaler VII, and Taft, a managing member of Morgenthaler VII GP, may be deemed to have shared power to vote these shares.
7 SOLE DISPOSITIVE POWER
- 0 -
8 SHARED DISPOSITIVE POWER
539,347 shares, all of which are directly owned by Morgenthaler VII.  Morgenthaler VII GP is the general partner of Morgenthaler VII, and Taft, a managing member of Morgenthaler VII GP, may be deemed to have shared power to dispose of these shares.
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON                                                                                                                  539,347
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES                                                                                                               ¨
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
                                                                                                                                                         9.4%
12 TYPE OF REPORTING PERSON                                                                                                 IN
       

 
 

 

CUSIP #37957B100 Page 10 of 15

  

ITEM 1(A). NAME OF ISSUER
   
  GlobeImmune, Inc. (the “Issuer”)
   
ITEM 1(B). ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES
   
  1450 Infinite Drive
  Louisville, Colorado 80027
   
ITEM 2(A). NAME OF PERSONS FILING
   
  This Schedule is filed by Morgenthaler Partners VII, L.P., a Delaware limited partnership, Morgenthaler Management Partners VII, LLC a Delaware limited liability company, Robert C. Bellas, Jr., Gary R. Little, John D. Lutsi, Gary J. Morgenthaler, Robert D. Pavey and Peter G. Taft.  The foregoing entities and individuals are collectively referred to as the “Reporting Persons.”
   
ITEM 2(B). ADDRESS OF PRINCIPAL OFFICE
   
  The address for each of the Reporting Persons is:
   
  c/o Morgenthaler Ventures
  2710 Sand Hill Road, Suite 100
  Menlo Park, California 94025
   
ITEM 2(C). CITIZENSHIP
   
  See Row 4 of cover page for each Reporting Person.
   
ITEM 2(D). TITLE OF CLASS OF SECURITIES
   
  Common Stock, $0.001 par value
   
ITEM 2(D) CUSIP NUMBER
   
  37957B100
   
ITEM 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
   
  Not applicable.
   
ITEM 4. OWNERSHIP
   
  The following information with respect to the ownership of the 539,347 shares of common stock of the Issuer (which includes 8,886 shares issuable upon conversion of 8,886 common stock warrants) by the persons filing this Statement is provided as of December 31, 2014:

 

  (a) Amount beneficially owned:
     
    See Row 9 of cover page for each Reporting Person.
     
  (b) Percent of Class:
     
    See Row 11 of cover page for each Reporting Person.
     
  (c) Number of shares as to which such person has:

 

 
 

 

CUSIP #37957B100 Page 11 of 15

 

  (i) Sole power to vote or to direct the vote:
     
    See Row 5 of cover page for each Reporting Person.
     
  (ii) Shared power to vote or to direct the vote:
     
    See Row 6 of cover page for each Reporting Person.
     
  (iii) Sole power to dispose or to direct the disposition of:
     
    See Row 7 of cover page for each Reporting Person.
     
  (iv) Shared power to dispose or to direct the disposition of:
     
    See Row 8 of cover page for each Reporting Person.

 

ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
   
  Not applicable.
   
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
   
  Under certain circumstances set forth in the limited partnership agreement of Morgenthaler Partners VII, L.P. and the limited liability company agreement of Morgenthaler Management Partners VII, LLC, the partners or members, as the case may be, of each of such entities may be deemed to have the right to receive dividends from, or the proceeds from the sale of, shares of the Issuer owned by each such entity of which they are a partner or member.
   
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY
   
  Not applicable.
   
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
   
  Not applicable
   
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
   
  Not applicable
   
ITEM 10. CERTIFICATION.
   
  By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 
 

 

CUSIP #37957B100 Page 12 of 15

 

SIGNATURES

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date: February 13, 2015

 

  MORGENTHALER PARTNERS, VII, L.P.
     
  By: MORGENTHALER MANAGEMENT PARTNERS VII, LLC
  Its: General Partner
     
  By: /s/ Scott D. Walters
  Name: Scott D. Walters
  Title: Attorney-in-Fact*
     
  MORGENTHALER MANAGEMENT PARTNERS VII, LLC
     
  By: /s/ Scott D. Walters
  Name: Scott D. Walters
  Title: Attorney-in-Fact*
     
  ROBERT C. BELLAS, JR.
     
  By: /s/ Scott D. Walters
  Name: Scott D. Walters
  Title: Attorney-in-Fact*
     
  GARY R. LITTLE
     
  By: /s/ Scott D. Walters
  Name: Scott D. Walters
  Title: Attorney-in-Fact*
     
  JOHN D. LUTSI
     
  By: /s/ Scott D. Walters
  Name: Scott D. Walters
  Title: Attorney-in-Fact*
     
  GARY J. MORGENTHALER
     
  By: /s/ Scott D. Walters
  Name: Scott D. Walters
  Title: Attorney-in-Fact*

 

 
 

 

CUSIP #37957B100 Page 13 of 15

 

  ROBERT D. PAVEY
     
  By: /s/ Scott D. Walters
  Name: Scott D. Walters
  Title: Attorney-in-Fact*
     
  PETER G. TAFT
     
  By: /s/ Scott D. Walters
  Name: Scott D. Walters
  Title: Attorney-in-Fact*

 

* Signed pursuant to a power of attorney already on file with the appropriate agencies.

 

 
 

 

CUSIP #37957B100 Page 14 of 15

 

EXHIBIT INDEX

 

    Found on
Sequentially
Exhibit   Numbered Page
     
Exhibit A:  Agreement of Joint Filing   15

 

 

 
 

 

CUSIP #37957B100 Page 15 of 15

 

exhibit A

 

Agreement of Joint Filing

 

The Reporting Persons hereby agree that a single Schedule 13G (or any amendment thereto) relating to the common stock of the Issuer shall be filed on behalf of each of the Reporting Persons. Note that copies of the applicable Agreement of Joint Filing are already on file with the appropriate agencies.