0001209191-16-098769.txt : 20160216
0001209191-16-098769.hdr.sgml : 20160215
20160216164004
ACCESSION NUMBER: 0001209191-16-098769
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160211
FILED AS OF DATE: 20160216
DATE AS OF CHANGE: 20160216
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: 161429442
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: 161429443
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: 161429444
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: 161429445
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: 161429446
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: 161429447
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: 161429441
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
2016-02-11
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
2016-02-11
4
S
0
5000
1.72
D
579267
I
By Partnership
Common Stock
2016-02-12
4
S
0
5000
1.59
D
574267
I
By Partnership
Common Stock
2016-02-16
4
S
0
5000
1.51
D
569267
I
By Partnership
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.65 - $1.92, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote (1) to this Form 4.
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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.47 - $1.67, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote (3) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.47 - $1.56, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote (4) to this Form 4.
/s/ Jeffrey B. Steinberg, Administrative Partner of HealthCare Partners VII, L.P., the GP of HealthCare Ventures VII, L.P.
2016-02-16
Jeffrey B. Steinberg, Attorney-in-Fact for James Cavanaugh
2016-02-16
Jeffrey B. Steinberg, Administrative Partner of HealthCare Partners VII, L.P.
2016-02-16
Jeffrey B. Steinberg, Attorney-in-Fact for Augustine Lawlor
2016-02-16
Jeffrey B. Steinberg, Attorney-in-Fact for John Littlechild
2016-02-16
Jeffrey B. Steinberg, Attorney-in-Fact for Christopher Mirabelli
2016-02-16
Jeffrey B. Steinberg, Attorney-in-fact for Harold Werner
2016-02-16