Immune Design Corp. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 68 rows, 68 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-07-29: Reporting owner Versant Venture Capital III, L.P. | Versant Side Fund III, L.P.; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2014-07-29: Reporting owner Versant Venture Capital III, L.P. | Versant Side Fund III, L.P.; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2014-07-29: Reporting owner Versant Venture Capital III, L.P. | Versant Side Fund III, L.P.; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2014-07-29: Reporting owner Versant Venture Capital III, L.P. | Versant Side Fund III, L.P.; Form 4; Security Series C Preferred Stock Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-07-29 | Versant Venture Capital III, L.P. | Versant Side Fund III, L.P. 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −733,941 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Versant Venture Capital III, L.P. | Versant Side Fund III, L.P. 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −531,840 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Versant Venture Capital III, L.P. | Versant Side Fund III, L.P. 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −611,620 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Versant Venture Capital III, L.P. | Versant Side Fund III, L.P. 10% Owner | 10% Owner | 4 | Series C Preferred Stock Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −305,810 0 owned after | $8.18 exercise price | 2014-07-31 | |
| 2014-07-29 | Versant Venture Capital III, L.P. | Versant Side Fund III, L.P. 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +305,810 305,810 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Versant Venture Capital III, L.P. | Versant Side Fund III, L.P. 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −305,810 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Svennilson Peter Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −733,943 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Svennilson Peter Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −744,580 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Svennilson Peter Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −856,269 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Svennilson Peter Director, 10% Owner | 4 | Series C Preferred Stock Warrant (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −428,134 0 owned after | $8.18 exercise price | 2014-07-31 | |
| 2014-07-29 | Svennilson Peter Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +428,134 428,134 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Svennilson Peter Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −428,134 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | ProQuest Associates IV LLC | Moorin Jay | SCHREIBER ALAIN | ProQuest Investments IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,595,530 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | ProQuest Associates IV LLC | Moorin Jay | SCHREIBER ALAIN | ProQuest Investments IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −611,620 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | ProQuest Associates IV LLC | Moorin Jay | SCHREIBER ALAIN | ProQuest Investments IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −305,810 0 owned after | $8.18 exercise price | 2014-07-31 | |
| 2014-07-29 | ProQuest Associates IV LLC | Moorin Jay | SCHREIBER ALAIN | ProQuest Investments IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +305,810 305,810 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | ProQuest Associates IV LLC | Moorin Jay | SCHREIBER ALAIN | ProQuest Investments IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −305,810 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | PENHOET EDWARD Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −733,943 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | PENHOET EDWARD Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −531,843 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | PENHOET EDWARD Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −611,620 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | PENHOET EDWARD Director, 10% Owner | 4 | Series C Preferred Stock Warrant (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −305,810 0 owned after | $8.18 exercise price | 2014-07-31 | |
| 2014-07-29 | PENHOET EDWARD Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +305,810 305,810 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | PENHOET EDWARD Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −305,810 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | GOEDDEL DAVID V | COLUMN GROUP L P | COLUMN GROUP GP, LP 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −733,943 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | GOEDDEL DAVID V | COLUMN GROUP L P | COLUMN GROUP GP, LP 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −744,580 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | GOEDDEL DAVID V | COLUMN GROUP L P | COLUMN GROUP GP, LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −856,269 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | GOEDDEL DAVID V | COLUMN GROUP L P | COLUMN GROUP GP, LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −428,134 0 owned after | $8.18 exercise price | 2014-07-31 | |
| 2014-07-29 | GOEDDEL DAVID V | COLUMN GROUP L P | COLUMN GROUP GP, LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +428,134 428,134 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | GOEDDEL DAVID V | COLUMN GROUP L P | COLUMN GROUP GP, LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −428,134 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | ATWOOD BRIAN G Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −733,941 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | ATWOOD BRIAN G Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −531,840 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | ATWOOD BRIAN G Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −611,620 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | ATWOOD BRIAN G Director, 10% Owner | 4 | Series C Preferred Stock Warrant (right to buy) Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −305,810 0 owned after | $8.18 exercise price | 2014-07-31 | |
| 2014-07-29 | ATWOOD BRIAN G Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +305,810 305,810 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | ATWOOD BRIAN G Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −305,810 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | NOHRA GUY P | CHAMPSI FARAH | JANNEY DANIEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −733,943 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | NOHRA GUY P | CHAMPSI FARAH | JANNEY DANIEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −531,843 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | NOHRA GUY P | CHAMPSI FARAH | JANNEY DANIEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −611,620 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | NOHRA GUY P | CHAMPSI FARAH | JANNEY DANIEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −305,810 0 owned after | $8.18 exercise price | 2014-07-31 | |
| 2014-07-29 | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | NOHRA GUY P | CHAMPSI FARAH | JANNEY DANIEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +305,810 305,810 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | NOHRA GUY P | CHAMPSI FARAH | JANNEY DANIEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −305,810 0 owned after | $0.00 | 2014-07-31 | |
| 2014-07-23 holding as of filing | COLUMN GROUP GP, LP | GOEDDEL DAVID V | COLUMN GROUP L P 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | COLUMN GROUP GP, LP | GOEDDEL DAVID V | COLUMN GROUP L P 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | COLUMN GROUP GP, LP | GOEDDEL DAVID V | COLUMN GROUP L P 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | COLUMN GROUP GP, LP | GOEDDEL DAVID V | COLUMN GROUP L P 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Warrant (right to buy) Derivative · Direct | Holding | $8.18 exercise price | 2014-07-23 | ||
| 2014-07-23 holding as of filing | SCHREIBER ALAIN | Moorin Jay | ProQuest Investments IV, L.P. | ProQuest Associates IV LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | SCHREIBER ALAIN | Moorin Jay | ProQuest Investments IV, L.P. | ProQuest Associates IV LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | SCHREIBER ALAIN | Moorin Jay | ProQuest Investments IV, L.P. | ProQuest Associates IV LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Warrant (right to buy) Derivative · Direct | Holding | $8.18 exercise price | 2014-07-23 | ||
| 2014-07-23 holding as of filing | NOHRA GUY P | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | CHAMPSI FARAH | JANNEY DANIEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | NOHRA GUY P | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | CHAMPSI FARAH | JANNEY DANIEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | NOHRA GUY P | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | CHAMPSI FARAH | JANNEY DANIEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | NOHRA GUY P | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | CHAMPSI FARAH | JANNEY DANIEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Warrant (right to buy) Derivative · Direct | Holding | $8.18 exercise price | 2014-07-23 | ||
| 2014-07-23 holding as of filing | ATWOOD BRIAN G Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | ATWOOD BRIAN G Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | ATWOOD BRIAN G Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | ATWOOD BRIAN G Director, 10% Owner | 3 | Series C Preferred Stock Warrant (right to buy) Derivative · Indirect · (m) | Holding | $8.18 exercise price | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Svennilson Peter Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Svennilson Peter Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Svennilson Peter Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Svennilson Peter Director, 10% Owner | 3 | Series C Preferred Stock Warrant (right to buy) Derivative · Indirect · (m) | Holding | $8.18 exercise price | 2014-07-23 | ||
| 2014-07-23 holding as of filing | PENHOET EDWARD Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | PENHOET EDWARD Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | PENHOET EDWARD Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | PENHOET EDWARD Director, 10% Owner | 3 | Series C Preferred Stock Warrant (right to buy) Derivative · Indirect · (m) | Holding | $8.18 exercise price | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Versant Venture Capital III, L.P. | Versant Side Fund III, L.P. 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Versant Venture Capital III, L.P. | Versant Side Fund III, L.P. 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Versant Venture Capital III, L.P. | Versant Side Fund III, L.P. 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Versant Venture Capital III, L.P. | Versant Side Fund III, L.P. 10% Owner | 10% Owner | 3 | Series C Preferred Stock Warrant (right to buy) Derivative · Direct | Holding | $8.18 exercise price | 2014-07-23 |