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