X0306 4 2016-02-10 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 2016-02-10 4 S 0 1168 1.9308 D 317375 I By Sequel Limited Partnership III Common Stock 2016-02-10 4 S 0 32 1.9308 D 6731 I By Sequel Entrepreneurs Fund III, LP Common Stock 2016-02-11 4 S 0 1163 1.7229 D 316212 I By Sequel Limited Partnership III Common Stock 2016-02-11 4 S 0 32 1.7229 D 6699 I By Sequel Entrepreneurs Fund III, LP Common Stock 2016-02-12 4 S 0 1216 1.5896 D 314996 I By Sequel Limited Partnership III Common Stock 2016-02-12 4 S 0 34 1.5896 D 6665 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 $1.91 to $1.96, 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 $1.70 to $1.775, 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 $1.58 to $1.60, 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 2016-02-12