Immune Design Corp. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-08-01: Reporting owner Gombotz Wayne; Form 4; Security Stock Option (Rt to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-01-04: Reporting owner RINGO WILLIAM R; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-01-04: Reporting owner ter Meulen Jan Henrik; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-01-04: Reporting owner Gombotz Wayne; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-08-01 | Gombotz Wayne Officer (Chief Development Officer) | 4 | Stock Option (Rt to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 38,715 owned after | $1.31 exercise price | 2017-08-03 | |
| 2017-01-04 | RINGO WILLIAM R Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | ter Meulen Jan Henrik Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 70,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | Gombotz Wayne Officer (Chief Development Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 70,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | Paya Carlos V Director, Officer (President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 175,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | BALTIMORE DAVID Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | PENHOET EDWARD Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | Kelley Susan L. Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | Svennilson Peter Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | COLEMAN LEWIS W Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | Brady Stephen R Officer (EVP, Strategy & Finance) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +85,000 85,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | Yurasov Sergey Officer (Sr. VP, Clinic. Devel. & CMO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $5.60 exercise price | 2017-01-06 | |
| 2017-01-04 | BERGER FRANKLIN M Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $5.60 exercise price | 2017-01-06 |