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