GLOBEIMMUNE INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 63 rows, 63 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-07-17: Reporting owner Mirabelli Christopher | LITTLECHILD JOHN W | LAWLOR AUGUSTINE | WERNER HAROLD R | CAVANAUGH JAMES H | HEALTHCARE VENTURES VII LP | HealthCare Partners VII, L.P.; Form 3/A; Security Warrant to Purchase Series B Convertible Preferred Stock; Transaction Holding.
- 2014-07-17: Reporting owner Mirabelli Christopher | LITTLECHILD JOHN W | LAWLOR AUGUSTINE | WERNER HAROLD R | CAVANAUGH JAMES H | HEALTHCARE VENTURES VII LP | HealthCare Partners VII, L.P.; Form 3/A; Security Warrant to Purchase Series C Convertible Preferred Stock; Transaction Holding.
- 2014-07-08: Reporting owner MITCHELL DANIEL J; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-07-08: Reporting owner MITCHELL DANIEL J; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-07-17 holding as of filing | Mirabelli Christopher | LITTLECHILD JOHN W | LAWLOR AUGUSTINE | WERNER HAROLD R | CAVANAUGH JAMES H | HEALTHCARE VENTURES VII LP | HealthCare Partners VII, L.P. 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Direct | Holding | $42.00 exercise price | 2014-07-17 | ||
| 2014-07-17 holding as of filing | Mirabelli Christopher | LITTLECHILD JOHN W | LAWLOR AUGUSTINE | WERNER HAROLD R | CAVANAUGH JAMES H | HEALTHCARE VENTURES VII LP | HealthCare Partners VII, L.P. 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Warrant to Purchase Series C Convertible Preferred Stock Derivative · Direct | Holding | $45.36 exercise price | 2014-07-17 | ||
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | C Conversion of derivative security | −36,557 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Sequel Limited Partnership III | C Conversion of derivative security | −1,315,441 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | C Conversion of derivative security | −84,879 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Sequel Limited Partnership III | C Conversion of derivative security | −3,054,134 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | C Conversion of derivative security | −75,318 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Sequel Limited Partnership III | C Conversion of derivative security | −2,710,122 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | C Conversion of derivative security | −21,905 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By Sequel Limited Partnership III | C Conversion of derivative security | −788,205 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Warrant to Purchase Series B Preferred Stock (right to buy) Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | C Conversion of derivative security | −2,334 0 owned after | $1.34 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Warrant to Purchase Series B Preferred Stock (right to buy) Derivative · Indirect · By Sequel Limited Partnership III | C Conversion of derivative security | −83,988 0 owned after | $1.34 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Warrant to Purchase Series C Preferred Stock (right to buy) Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | C Conversion of derivative security | −1,860 0 owned after | $1.45 | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Warrant to Purchase Series C Preferred Stock (right to buy) Derivative · Indirect · By Sequel Limited Partnership III | C Conversion of derivative security | −66,955 0 owned after | $1.45 | 2014-07-09 | |
| 2014-07-08 | Torres S. Edward Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Lilly Ventures Fund I, LLC | C Conversion of derivative security | −3,736,921 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | Torres S. Edward Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Lilly Ventures Fund I, LLC | C Conversion of derivative security | −1,685,796 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | Torres S. Edward Director | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By Lilly Ventures Fund I, LLC | C Conversion of derivative security | −318,411 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | Torres S. Edward Director | 4 | Warrant to Purchase Series C Preferred Stock (right to buy) Derivative · Indirect · By Lilly Ventures Fund I, LLC | C Conversion of derivative security | −50,684 0 owned after | $1.45 | 2014-07-09 | |
| 2014-07-08 | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,528,000 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,904,335 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,879,015 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −259,235 0 owned after | $0.00 | 2014-07-09 | |
| 2014-07-08 | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 4 | Warrant to Purchase Series B Preferred Stock (right to buy) Derivative · Direct | C Conversion of derivative security | −162,369 0 owned after | $1.34 | 2014-07-09 | |
| 2014-07-08 | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 4 | Warrant to Purchase Series C Preferred Stock (right to buy) Derivative · Direct | C Conversion of derivative security | −116,586 0 owned after | $1.45 | 2014-07-09 | |
| 2014-07-08 | LITTLECHILD JOHN W | Mirabelli Christopher | HEALTHCARE VENTURES VII LP | LAWLOR AUGUSTINE | WERNER HAROLD R | HealthCare Partners VII, L.P. | CAVANAUGH JAMES H 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Partnership | C Conversion of derivative security | −2,528,000 0 owned after | $0.00 | 2014-07-08 | |
| 2014-07-08 | LITTLECHILD JOHN W | Mirabelli Christopher | HEALTHCARE VENTURES VII LP | LAWLOR AUGUSTINE | WERNER HAROLD R | HealthCare Partners VII, L.P. | CAVANAUGH JAMES H 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Partnership | C Conversion of derivative security | −5,904,335 0 owned after | $0.00 | 2014-07-08 | |
| 2014-07-08 | LITTLECHILD JOHN W | Mirabelli Christopher | HEALTHCARE VENTURES VII LP | LAWLOR AUGUSTINE | WERNER HAROLD R | HealthCare Partners VII, L.P. | CAVANAUGH JAMES H 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Partnership | C Conversion of derivative security | −3,879,015 0 owned after | $0.00 | 2014-07-08 | |
| 2014-07-08 | LITTLECHILD JOHN W | Mirabelli Christopher | HEALTHCARE VENTURES VII LP | LAWLOR AUGUSTINE | WERNER HAROLD R | HealthCare Partners VII, L.P. | CAVANAUGH JAMES H 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By Partnership | C Conversion of derivative security | −64,809 0 owned after | $0.00 | 2014-07-08 | |
| 2014-07-08 | Celgene International Inc | CELGENE CORP /DE/ 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,160,682 0 owned after | $0.00 | 2014-07-08 | |
| 2014-07-08 | Celgene International Inc | CELGENE CORP /DE/ 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,650,519 0 owned after | $0.00 | 2014-07-08 | |
| 2014-07-08 | Celgene International Inc | CELGENE CORP /DE/ 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,765,888 0 owned after | $0.00 | 2014-07-08 | |
| 2014-07-01 holding as of filing | LITTLECHILD JOHN W | WERNER HAROLD R | CAVANAUGH JAMES H | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | Mirabelli Christopher | HEALTHCARE VENTURES VII LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | LITTLECHILD JOHN W | WERNER HAROLD R | CAVANAUGH JAMES H | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | Mirabelli Christopher | HEALTHCARE VENTURES VII LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | LITTLECHILD JOHN W | WERNER HAROLD R | CAVANAUGH JAMES H | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | Mirabelli Christopher | HEALTHCARE VENTURES VII LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | LITTLECHILD JOHN W | WERNER HAROLD R | CAVANAUGH JAMES H | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | Mirabelli Christopher | HEALTHCARE VENTURES VII LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | LITTLECHILD JOHN W | WERNER HAROLD R | CAVANAUGH JAMES H | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | Mirabelli Christopher | HEALTHCARE VENTURES VII LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | $1.34 exercise price | 2014-07-01 | ||
| 2014-07-01 holding as of filing | LITTLECHILD JOHN W | WERNER HAROLD R | CAVANAUGH JAMES H | HealthCare Partners VII, L.P. | LAWLOR AUGUSTINE | Mirabelli Christopher | HEALTHCARE VENTURES VII LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | $1.45 exercise price | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Sequel Limited Partnership III | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Sequel Limited Partnership III | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Sequel Limited Partnership III | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Series E Convertible Preferred Stock Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Series E Convertible Preferred Stock Derivative · Indirect · By Sequel Limited Partnership III | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Warrant to Purchase Series B Preferred Stock (right to buy) Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | Holding | $1.34 exercise price | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Warrant to Purchase Series B Preferred Stock (right to buy) Derivative · Indirect · By Sequel Limited Partnership III | Holding | $1.34 exercise price | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Warrant to Purchase Series C Preferred Stock (right to buy) Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | Holding | $1.45 exercise price | 2014-07-01 | ||
| 2014-07-01 holding as of filing | MITCHELL DANIEL J Director | 3 | Warrant to Purchase Series C Preferred Stock (right to buy) Derivative · Indirect · By Sequel Limited Partnership III | Holding | $1.45 exercise price | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Celgene International Inc | CELGENE CORP /DE/ 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Celgene International Inc | CELGENE CORP /DE/ 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Celgene International Inc | CELGENE CORP /DE/ 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Celgene International Inc | CELGENE CORP /DE/ 10% Owner | 10% Owner | 3 | Warrants to Purchase Series C Preferred Stock (right to buy) Derivative · Direct | Holding | $1.45 exercise price | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Torres S. Edward Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Lilly Ventures Fund I, LLC | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Torres S. Edward Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Lilly Ventures Fund I, LLC | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Torres S. Edward Director | 3 | Series E Convertible Preferred Stock Derivative · Indirect · By Lilly Ventures Fund I, LLC | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Torres S. Edward Director | 3 | Warrant to Purchase Series C Preferred Stock (right to buy) Derivative · Indirect · By Lilly Ventures Fund I, LLC | Holding | $1.45 exercise price | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 3 | Warrant to Purchase Series B Preferred Stock (right to buy) Derivative · Direct | Holding | $1.34 exercise price | 2014-07-01 | ||
| 2014-07-01 holding as of filing | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 3 | Warrant to Purchase Series C Preferred Stock (right to buy) Derivative · Direct | Holding | $1.45 exercise price | 2014-07-01 |