FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Immune Design Corp. [ IMDZ ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/27/2017 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/27/2017 | P | 2,681,000(1) | A | $4.1 | 6,642,942 | D(2)(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Reflects the purchase of shares by Ponoi Capital, LP ("Ponoi LP") in the follow-on offering of Common Stock of Immune Design Corp. that closed on October 27, 2017. |
2. Includes shares directly held by Ponoi LP, The Column Group II, LP ("TCG II LP") and The Column Group, LP ("TCG LP"). The Column Group II GP, LP ("TCG II GP"), as the general partner of TCG II LP, has voting and dispositive power with respect to certain of the shares. The Column Group GP, LP ("TCG GP"), as the general partner of TCG LP, has voting and dispositive power with respect to certain of the shares. Ponoi Management, LLC ("Ponoi LLC"), as the general partner of Ponoi LP, has voting and dispositive power with respect to certain of the shares. |
3. (Continued From Footnote 2) The individual managing partners of both TCG II GP and TCG GP are Peter Svennilson and David Goeddel, who may be deemed to have shared voting and dispositive power with respect to the shares owned by TCG II LP and TCG LP. The individual managing partners of Ponoi LLC are Peter Svennilson, David Goeddel and Tim Kutzkey, who may be deemed to have shared voting and dispositive power with respect to the shares owned by Ponoi LP. Each individual managing partner disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest in such shares. |
Remarks: |
THE COLUMN GROUP, LP, /s/ Peter Svennilson, Name: Peter Svennilson, Managing Partner | 10/30/2017 | |
THE COLUMN GROUP GP, LP, /s/ Peter Svennilson, Name: Peter Svennilson, Managing Partner | 10/30/2017 | |
THE COLUMN GROUP II, LP, /s/ Peter Svennilson, Name: Peter Svennilson, Managing Partner | 10/30/2017 | |
THE COLUMN GROUP II GP, LP, /s/ Peter Svennilson, Name: Peter Svennilson, Managing Partner | 10/30/2017 | |
PONOI CAPITAL, LP, /s/ Peter Svennilson, Name: Peter Svennilson, Managing Partner | 10/30/2017 | |
PONOI MANAGEMENT, LLC, /s/ Peter Svennilson, Name: Peter Svennilson, Managing Partner | 10/30/2017 | |
/s/ David V. Goeddel, Name: David V. Goeddel | 10/30/2017 | |
/s/ Tim Kutzkey, Name: Tim Kutzky | 10/30/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |