0001209191-14-046565.txt : 20140709 0001209191-14-046565.hdr.sgml : 20140709 20140709172941 ACCESSION NUMBER: 0001209191-14-046565 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140708 FILED AS OF DATE: 20140709 DATE AS OF CHANGE: 20140709 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: Morgenthaler Management Partners VII, LLC CENTRAL INDEX KEY: 0001379550 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35642 FILM NUMBER: 14967894 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MORGENTHALER PARTNERS VII LP CENTRAL INDEX KEY: 0001162183 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35642 FILM NUMBER: 14967895 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-07-08 1 0001245104 GLOBEIMMUNE INC GBIM 0001162183 MORGENTHALER PARTNERS VII LP 2710 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 0 0 1 0 0001379550 Morgenthaler Management Partners VII, LLC 2710 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 0 0 1 0 Common Stock 2014-07-08 4 C 0 400461 0.00 A 400461 D Common Stock 2014-07-08 4 P 0 130000 10.00 A 530461 D Series A Convertible Preferred Stock 2014-07-08 4 C 0 2528000 0.00 D Common Stock 80533 0 D Series B Convertible Preferred Stock 2014-07-08 4 C 0 5904335 0.00 D Common Stock 188096 0 D Series C Convertible Preferred Stock 2014-07-08 4 C 0 3879015 0.00 D Common Stock 123574 0 D Series E Convertible Preferred Stock 2014-07-08 4 C 0 259235 0.00 D Common Stock 8258 0 D Warrant to Purchase Series B Preferred Stock (right to buy) 2014-07-08 4 C 0 162369 1.338 D Common Stock 162369 0 D Warrant to Purchase Series C Preferred Stock (right to buy) 2014-07-08 4 C 0 116586 1.445 D Common Stock 116586 0 D Warrant to Purchase Common Stock (right to buy) 42.00 2014-07-08 4 C 0 5172 0.00 A Common Stock 5172 5172 D Warrant to Purchase Common Stock (right to buy) 45.36 2014-07-08 4 C 0 3714 0.00 A Common Stock 3714 3714 D Represents shares of common stock of the Issuer received upon conversion of shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series E Convertible Stock. Every one share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series E Convertible Stock (collectively, the "Convertible Preferred Stock") converted on a 1-for- 31.39 basis into shares of common stock of the Issuer upon the closing of the Issuer's initial public offering. The Convertible Preferred Stock of the Issuer had no expiration and was convertible at any time at the option of the holder. Each one share of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock converted on a 1-for-31.39 share basis into shares of common stock of the Issuer upon the closing of the Issuer's initial public offering. The number of shares and price per share reported herein does not reflect such conversion. The Warrant was immediately exercisable at any time at the option of the holder. 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 Morgenthaler Partners VII, L.P. ("MP VII LP") is Morgenthaler Management Partners VII, L.L.C. ("MMP VII LLC"). MMP VII LLC may be deemed to indirectly beneficially own the shares owned by MP VII LP. MMP VII LLC disclaims beneficial ownership of the shares held by MP VII LP, except to the extent of its pecuniary interest arising therein. /s/ Matthew P. Dubofsky, Attorney-in-Fact for Morgenthaler Partners VII, L.P. 2014-07-09 /s/ Matthew P. Dubofsky, Attorney-in-Fact for Morgenthaler Management Partners VII, L.L.C. 2014-07-09