GLOBEIMMUNE INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows, 12 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-07-08: Reporting owner MITCHELL DANIEL J; Form 4/A; Security Warrant to Purchase Common Stock (right to buy); Transaction C Conversion of derivative security.
- 2014-07-08: Reporting owner MITCHELL DANIEL J; Form 4/A; Security Warrant to Purchase Common Stock (right to buy); Transaction C Conversion of derivative security.
- 2014-07-08: Reporting owner MITCHELL DANIEL J; Form 4/A; Security Warrant to Purchase Common Stock (right to buy); Transaction C Conversion of derivative security.
- 2014-07-08: Reporting owner MITCHELL DANIEL J; Form 4/A; Security Warrant to Purchase Common Stock (right to buy); Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-07-08 | MITCHELL DANIEL J Director | 4/A | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | C Conversion of derivative security | +74 74 owned after | $42.00 exercise price | 2014-07-15 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4/A | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · By Sequel Limited Partnership III | C Conversion of derivative security | +2,675 2,675 owned after | $42.00 exercise price | 2014-07-15 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4/A | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | C Conversion of derivative security | +59 59 owned after | $45.36 exercise price | 2014-07-15 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4/A | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · By Sequel Limited Partnership III | C Conversion of derivative security | +2,133 2,133 owned after | $45.36 exercise price | 2014-07-15 | |
| 2014-07-08 | Torres S. Edward Director | 4/A | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · By Lilly Ventures Fund I, LLC | C Conversion of derivative security | +1,614 1,614 owned after | $45.36 exercise price | 2014-07-15 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | C Conversion of derivative security | +74 74 owned after | $42.00 exercise price | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · By Sequel Limited Partnership III | C Conversion of derivative security | +2,675 2,675 owned after | $42.00 exercise price | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · By Sequel Entrepreneurs Fund III, LP | C Conversion of derivative security | +59 59 owned after | $45.36 exercise price | 2014-07-09 | |
| 2014-07-08 | MITCHELL DANIEL J Director | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · By Sequel Limited Partnership III | C Conversion of derivative security | +2,133 2,133 owned after | $45.36 exercise price | 2014-07-09 | |
| 2014-07-08 | Torres S. Edward Director | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · By Lilly Ventures Fund I, LLC | C Conversion of derivative security | +1,614 1,614 owned after | $45.36 exercise price | 2014-07-09 | |
| 2014-07-08 | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Direct | C Conversion of derivative security | +5,172 5,172 owned after | $42.00 exercise price | 2014-07-09 | |
| 2014-07-08 | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Direct | C Conversion of derivative security | +3,714 3,714 owned after | $45.36 exercise price | 2014-07-09 |