0001209191-14-046450.txt : 20140708
0001209191-14-046450.hdr.sgml : 20140708
20140708174838
ACCESSION NUMBER: 0001209191-14-046450
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140708
FILED AS OF DATE: 20140708
DATE AS OF CHANGE: 20140708
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: GLOBEIMMUNE INC
CENTRAL INDEX KEY: 0001245104
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 841353925
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1450 INFINITE DRIVE
CITY: LOUISVILLE
STATE: CO
ZIP: 80027
BUSINESS PHONE: 3036252744
MAIL ADDRESS:
STREET 1: 1450 INFINITE DRIVE
CITY: LOUISVILLE
STATE: CO
ZIP: 80027
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mirabelli Christopher
CENTRAL INDEX KEY: 0001262326
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35642
FILM NUMBER: 14966095
MAIL ADDRESS:
STREET 1: 55 CAMBRIDGE PARKWAY
STREET 2: SUITE 301
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
FORMER NAME:
FORMER CONFORMED NAME: MIRAELLI CHRISTOPHER
DATE OF NAME CHANGE: 20030904
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LITTLECHILD JOHN W
CENTRAL INDEX KEY: 0001013469
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35642
FILM NUMBER: 14966096
MAIL ADDRESS:
STREET 1: 55 CAMBRIDGE PARKWAY
STREET 2: SUITE 301
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LAWLOR AUGUSTINE
CENTRAL INDEX KEY: 0001262327
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35642
FILM NUMBER: 14966097
MAIL ADDRESS:
STREET 1: 55 CAMBRIDGE PARKWAY
STREET 2: SUITE 301
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HealthCare Partners VII, L.P.
CENTRAL INDEX KEY: 0001330957
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35642
FILM NUMBER: 14966098
BUSINESS ADDRESS:
STREET 1: 44 NASSAU STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
BUSINESS PHONE: 609-430-3913
MAIL ADDRESS:
STREET 1: 44 NASSAU STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CAVANAUGH JAMES H
CENTRAL INDEX KEY: 0001013473
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0731
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35642
FILM NUMBER: 14966099
MAIL ADDRESS:
STREET 1: 265 HOTHORPE LANE
CITY: VILLANOVA
STATE: PA
ZIP: 19085
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HEALTHCARE VENTURES VII LP
CENTRAL INDEX KEY: 0001202615
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35642
FILM NUMBER: 14966100
BUSINESS ADDRESS:
STREET 1: 55 CAMBRIDGE PARKWAY
STREET 2: SUITE 301
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
BUSINESS PHONE: 609-430-3900
MAIL ADDRESS:
STREET 1: 55 CAMBRIDGE PARKWAY
STREET 2: SUITE 301
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WERNER HAROLD R
CENTRAL INDEX KEY: 0001013603
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35642
FILM NUMBER: 14966094
MAIL ADDRESS:
STREET 1: C/O HEALTHCARE VENTURES LLC
STREET 2: 44 NASSAU STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-07-08
0
0001245104
GLOBEIMMUNE INC
GBIM
0001202615
HEALTHCARE VENTURES VII LP
47 THORNDIKE STREET
SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001013473
CAVANAUGH JAMES H
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001330957
HealthCare Partners VII, L.P.
47 THORNDIKE STREET
SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001262327
LAWLOR AUGUSTINE
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
1
0
1
0
0001013469
LITTLECHILD JOHN W
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001262326
Mirabelli Christopher
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001013603
WERNER HAROLD R
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
Common Stock
2014-07-08
4
C
0
80533
0.00
A
80533
I
By Partnership
Common Stock
2014-07-08
4
C
0
188096
0.00
A
268629
I
By Partnership
Common Stock
2014-07-08
4
C
0
123574
0.00
A
392203
I
By Partnership
Common Stock
2014-07-08
4
C
0
2064
0.00
A
394267
I
By Partnership
Common Stock
2014-07-08
4
P
0
190000
10.00
A
584267
I
By Partnership
Series A Convertible Preferred Stock
2014-07-08
4
C
0
2528000
0.00
D
Common Stock
80533
0
I
By Partnership
Series B Convertible Preferred Stock
2014-07-08
4
C
0
5904335
0.00
D
Common Stock
188096
0
I
By Partnership
Series C Convertible Preferred Stock
2014-07-08
4
C
0
3879015
0.00
D
Common Stock
123574
0
I
By Partnership
Series E Convertible Preferred Stock
2014-07-08
4
C
0
64809
0.00
D
Common Stock
2064
0
I
By Partnership
Effective immediately upon the closing of the issuer's initial public offering of its common stock, each share of convertible preferred stock automatically converted on a 1 for 31.39 basis into shares of common stock of the issuer. Pursuant to the terms of the convertible preferred stock, the conversion of the shares of the preferred stock was done on a certificate by certificate basis with fractional shares paid out to the reporting persons in cash. The convertible preferred stock had no expiration date.
These securities are held of record by HealthCare Ventures VII, L.P. ("HCVVII"). HealthCare Partners VII, L.P. ("HCPVII") is the General Partner of HCVVII. Each of James Cavanaugh, Christopher Mirabelli, Harold Werner, John Littlechild and Augustine Lawlor are general partners of HCPVII and exercise shared voting and investment power with respect to the shares owned by HCVVII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of their proportionate pecuniary interest therein. In addition, Mr. Lawlor is a member of the Board of Directors of the Issuer.
These shares were purchased by HCVVII.
/s/ Jeffrey B. Steinberg, Administrative Partner of HealthCare Ventures VII, L.P.
2014-07-08
Jeffrey B. Steinberg, Attorney-in-Fact for James Cavanaugh
2014-07-08
Jeffrey B. Steinberg, Administrative Partner of HealthCare Partners VII, L.P.
2014-07-08
Jeffrey B. Steinberg, Attorney-in-Fact for Augustine Lawlor
2014-07-08
Jeffrey B. Steinberg, Attorney-in-Fact for John Littlechild
2014-07-08
Jeffrey B. Steinberg, Attorney-in-Fact for Christopher Mirabelli
2014-07-08
Jeffrey B. Steinberg, Attorney-in-fact for Harold Werner
2014-07-08