0001209191-16-101999.txt : 20160224 0001209191-16-101999.hdr.sgml : 20160224 20160224172255 ACCESSION NUMBER: 0001209191-16-101999 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160222 FILED AS OF DATE: 20160224 DATE AS OF CHANGE: 20160224 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: LAWLOR AUGUSTINE CENTRAL INDEX KEY: 0001262327 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35642 FILM NUMBER: 161453003 MAIL ADDRESS: STREET 1: 55 CAMBRIDGE PARKWAY STREET 2: SUITE 301 CITY: CAMBRIDGE STATE: MA ZIP: 02142 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-22 0 0001245104 GLOBEIMMUNE INC GBIM 0001262327 LAWLOR AUGUSTINE C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 1 0 0 0 Common Stock 2016-02-22 4 S 0 5000 1.43 D 549267 I By Partnership Common Stock 2016-02-23 4 S 0 5000 1.39 D 544267 I By Partnership Common Stock 2016-02-24 4 S 0 5000 1.17 D 539267 I By Partnership The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.38 to $1.46, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 (1) to this Form 4. These securities are held of record by HealthCare Ventures VII, L.P. ("HCVVII"). HealthCare Partners VII, L.P. ("HCPVII") is the General Partner of HCVVII. Mr. Lawlor, a member of the Board of Directors of the Issuer, is a general partner of HCPVII and, as such, exercises shared voting and investment power with respect to the shares owned by HCVVII. Mr. Lawlor disclaims beneficial ownership of such securities, except to the extent of his proportionate pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.36 to $1.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 (3) 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 $1.29, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 (4) to this Form 4 /s/Jeffrey Steinberg, Attorney-in-Fact 2016-02-24