-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HstHBAvcWTvmuvVW4TQSuiLGhaXjVVQBMUdnJ1BgeCwBkHFrx5FULpcEERRqtjz7 q3RQDqLMycEzMrQjfT4TIw== 0000898432-03-000371.txt : 20030423 0000898432-03-000371.hdr.sgml : 20030423 20030423135635 ACCESSION NUMBER: 0000898432-03-000371 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030414 FILED AS OF DATE: 20030423 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: IMMUNE RESPONSE CORP CENTRAL INDEX KEY: 0000817785 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 330255679 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18006 FILM NUMBER: 03659734 BUSINESS ADDRESS: STREET 1: 5935 DARWIN COURT CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 6194317080 MAIL ADDRESS: STREET 1: 5935 DARWIN COURT CITY: CARLSBAD STATE: CA ZIP: 92008 4 1 kimberlin_form-4.txt FORM 4 KEVIN KIMBERLIN U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 [_] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* Kimberlin Kevin - -------------------------------------------------------------------------------- (Last) (First) (Middle) Spencer Trask Securities Inc. 535 Madison Avenue, 18th Floor - -------------------------------------------------------------------------------- (Street) New York NY 10022 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol The Immune Response Corporation (IMNR) ________________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year April 14, 2003 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by one Reporting Person [_] Form filed by More than One Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship 3. Disposed of (D) Beneficially Form: 7. 2A. Transaction (Instr. 3, 4 and 5) Owned Follow- Direct Nature of 2. Deemed Code ------------------------------- Reported (D) or Indirect 1. Transaction Execution (Instr. 8) (A) Transactions Indirect Beneficial Title of Security Date Date, if any ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one reporting person, see Instruction 4(b)(v). (Print or Type Response) (Over) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 5. 9. Owner- Number Number ship of Deri- of Form 2. vative deriv- of Conver- Securi- 7. ative Deriv- 11. sion ties Ac- Title and Amount Secur- ative Nature or quired 6. of Underlying 8. ities Secur- of Exer- 3A. 4. (A) or Date Securities Price Bene- ity: In- cise 3. Deemed Trans- Disposed Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- Execu- action of (D) Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action tion Code (Instr. (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date Date, (Instr. 3, 4 and ---------------- or Secur- of direct Owner- Derivative ative (Month/ if any 8) 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ (mm/dd ------ ---------- Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) (yy) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $32.00 04/14/03 Common to buy) (3) D(1) 1,563 (2) 09/19/04 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 1,563 (2) 09/19/04 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $21.76 Common to buy) (3) 04/14/03 D(1) 1,563 (2) 06/14/05 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 1,563 (2) 06/14/05 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $49.00 04/14/03 Common to buy) (3) D(1) 1,563 (2) 05/30/06 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 1,563 (2) 05/30/06 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $35.00 Common to buy) (3) 04/14/03 D(1) 1,563 (2) 05/22/07 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 1,563 (2) 05/22/07 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $54.76 Common to buy) (3) 04/14/03 D(1) 1,563 (2) 06/11/08 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 1,563 (2) 06/11/08 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $29.25 Common to buy) (3) 04/14/03 D(1) 1,563 (2) 05/25/09 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 1,563 (2) 05/25/09 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $23.125 Common to buy) (3) 04/14/03 D(1) 1,180 (2) 08/17/09 Stock 1,180 1,180 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 1,180 (2) 08/17/09 Stock 1,180 1,180 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $23.752 Common to buy) (3) 04/14/03 D(1) 1,563 (2) 05/25/10 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 1,563 (2) 05/25/10 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $15.752 Common to buy) (3) 04/14/03 D(1) 17,659 (2) 11/14/10 Stock 17,659 17,659 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 17,659 (2) 11/14/10 Stock 17,659 17,659 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $15.752 Common to buy) (3) 04/14/03 D(1) 7,341 (2) 11/27/10 Stock 7,341 7,341 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 7,341 (2) 11/27/10 Stock 7,341 7,341 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $13.80 06/21/11 Common to buy) (3) 04/14/03 D(1) 1,563 (2) Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 1,563 (2) 06/21/11 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Page 2 - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right $2.36 Common to buy) (3) 04/14/03 D(1) 1,563 (2) 06/17/12 Stock 1,563 1,563 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (right Common to buy) $1.12 04/14/03 A 1,563 (2) 06/17/12 Stock 1,563 1,563 D ====================================================================================================================================
Explanation of Responses: (1) Cancellation of option in connection with grant of replacement option. (2) The reported transaction involved the reprising of an existing option which originally provided for pro rata vesting on a daily basis over four years. On April 14, 2003, the option was repriced and amended to provide for vesting of half of the grant immediately upon reporting, with the remaining shares vesting pro rata on a daily basis over the two years following the date of repricing. (3) This option was previously adjusted to reflect a one-for-four reverse stock split on October 9, 2002. /s/ Kevin Kimberlin 04/16/03 - --------------------------------------------- ----------------------- Kevin Kimberlin **Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 3 -----END PRIVACY-ENHANCED MESSAGE-----