0001209191-16-100441.txt : 20160219 0001209191-16-100441.hdr.sgml : 20160219 20160219155001 ACCESSION NUMBER: 0001209191-16-100441 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160217 FILED AS OF DATE: 20160219 DATE AS OF CHANGE: 20160219 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: 161441768 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: 161441769 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: 161441770 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: 161441771 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: 161441772 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: 161441773 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: 161441767 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 2016-02-17 1 0001245104 GLOBEIMMUNE INC GBIM 0001202615 HEALTHCARE VENTURES VII LP 47 THORNDIKE STREET SUITE B1-1 CAMBRIDGE MA 02141 0 0 0 1 Former 10% Owner 0001013473 CAVANAUGH JAMES H C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 0 1 Former 10% Owner 0001330957 HealthCare Partners VII, L.P. 47 THORNDIKE STREET SUITE B1-1 CAMBRIDGE MA 02141 0 0 0 1 Former 10% Owner 0001262327 LAWLOR AUGUSTINE C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 1 0 0 1 Former 10% Owner 0001013469 LITTLECHILD JOHN W C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 0 1 Former 10% Owner 0001262326 Mirabelli Christopher C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 0 1 Former 10% Owner 0001013603 WERNER HAROLD R C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 0 1 Former 10% Owner Common Stock 2016-02-17 4 S 0 5000 1.53 D 564267 I By Partnership Common Stock 2016-02-18 4 S 0 5000 1.40 D 559267 I By Partnership Common Stock 2016-02-19 4 S 0 5000 1.39 D 554267 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 $1.48 - $1.56, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the 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 $1.40 - $1.44, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the 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 $1.35 - $1.42, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the 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. As of the date of event requiring this filing, the Reporting Persons are no longer 10% owners of the equity securities of the Issuer and, accordingly, except as noted in the next sentence, the Reporting Persons are no longer subject to Section 16 reporting in connection with their transactions in the equity securities of the Issuer. Mr. Lawlor is a director of the Issuer and in that capacity continues to have a filing obligation under Section 16. /s/ Jeffrey B. Steinberg, Administrative Partner of HealthCare Partners VII, L.P., the GP of HealthCare Ventures VII, L.P. 2016-02-19 Jeffrey B. Steinberg, Attorney-in-Fact for James Cavanaugh 2016-02-19 Jeffrey B. Steinberg, Administrative Partner of HealthCare Partners VII, L.P. 2016-02-19 Jeffrey B. Steinberg, Attorney-in-Fact for Augustine Lawlor 2016-02-19 Jeffrey B. Steinberg, Attorney-in-Fact for John Littlechild 2016-02-19 Jeffrey B. Steinberg, Attorney-in-Fact for Christopher Mirabelli 2016-02-19 Jeffrey B. Steinberg, Attorney-in-fact for Harold Werner 2016-02-19