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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Rt to Buy) | $ 8.92 | 07/17/2018 | D | 27,525 | (1) | 06/23/2024 | Common Stock | 27,525 | (2) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 18,350 | (3) | 07/17/2025 | Common Stock | 18,350 | (2) | 18,350 | D | ||||
Stock Option (Rt to Buy) | $ 8.92 | 07/17/2018 | D | 12,230 | (1) | 06/23/2024 | Common Stock | 12,230 | (4) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 8,154 | (3) | 07/17/2025 | Common Stock | 8,154 | (4) | 8,154 | D | ||||
Stock Option (Rt to Buy) | $ 31 | 07/17/2018 | D | 2,838 | (5) | 01/07/2025 | Common Stock | 2,838 | (6) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 1,419 | (3) | 07/17/2025 | Common Stock | 1,419 | (6) | 1,419 | D | ||||
Stock Option (Rt to Buy) | $ 31 | 07/17/2018 | D | 47,162 | (5) | 01/07/2025 | Common Stock | 47,162 | (7) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 23,581 | (3) | 07/17/2025 | Common Stock | 23,581 | (7) | 23,581 | D | ||||
Stock Option (Rt to Buy) | $ 13 | 07/17/2018 | D | 50,000 | (8) | 10/30/2025 | Common Stock | 50,000 | (9) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 33,334 | (3) | 07/17/2025 | Common Stock | 33,334 | (9) | 33,334 | D | ||||
Stock Option (Rt to Buy) | $ 19.39 | 07/17/2018 | D | 5,054 | (10) | 01/04/2026 | Common Stock | 5,054 | (11) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 2,888 | (3) | 07/17/2025 | Common Stock | 2,888 | (11) | 2,888 | D | ||||
Stock Option (Rt to Buy) | $ 19.39 | 07/17/2018 | D | 69,946 | (10) | 01/04/2026 | Common Stock | 69,946 | (12) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 39,970 | (3) | 07/17/2025 | Common Stock | 39,970 | (12) | 39,970 | D | ||||
Stock Option (Rt to Buy) | $ 5.6 | 07/17/2018 | D | 14,216 | (13) | 01/04/2027 | Common Stock | 14,216 | (14) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 9,478 | (15) | 07/17/2025 | Common Stock | 9,478 | (14) | 9,478 | D | ||||
Stock Option (Rt to Buy) | $ 5.6 | 07/17/2018 | D | 70,784 | (13) | 01/04/2027 | Common Stock | 70,784 | (16) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 47,190 | (15) | 07/17/2025 | Common Stock | 47,190 | (16) | 47,190 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brady Stephen R C/O IMMUNE DESIGN CORP. 1616 EASTLAKE AVE. E., SUITE 310 SEATTLE, WA 98102 |
EVP, Strategy & Finance |
/s/ Stephen R. Brady, Attorney-In-Fact | 07/19/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The option provided for vesting of 1/4th of the shares underlying the option on June 23, 2015 and the remainder of the shares at a rate of 1/36th per month thereafter. |
(2) | On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 27,525 shares of the issuer's common stock granted to the reporting person on June 23, 2014. In exchange, the reporting person received a replacement option, for 18,350 shares, having an exercise price of $4.40 per share. |
(3) | The option vests in twenty four (24) equal consecutive monthly installments beginning on August 17, 2018. |
(4) | On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 12,230 shares of the issuer's common stock granted to the reporting person on June 23, 2014. In exchange, the reporting person received a replacement option, for 8,154 shares, having an exercise price of $4.40 per share. |
(5) | The option provided for vesting of 1/4th of the shares underlying the option on January 1, 2016 and the remainder of the shares at a rate of 1/36th per month thereafter. |
(6) | On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 2,838 shares of the issuer's common stock granted to the reporting person on January 7, 2015. In exchange, the reporting person received a replacement option, for 1,419 shares, having an exercise price of $4.40 per share. |
(7) | On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 47,162 shares of the issuer's common stock granted to the reporting person on January 7, 2015. In exchange, the reporting person received a replacement option, for 23,581 shares, having an exercise price of $4.40 per share. |
(8) | The option provided for vesting of 37.5% of the option on each of October 30, 2016 and 2017 with the remainder of the shares underlying the option on October 30, 2018. |
(9) | On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 50,000 shares of the issuer's common stock granted to the reporting person on October 30, 2015. In exchange, the reporting person received a replacement option, for 33,334 shares, having an exercise price of $4.40 per share. |
(10) | The option provided for vesting of 1/4th of the shares underlying the option on January 4, 2017 and the remainder of the shares underlying the option at a rate of 1/36th per month thereafter. |
(11) | On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 5,054 shares of the issuer's common stock granted to the reporting person on January 4, 2016. In exchange, the reporting person received a replacement option, for 2,888 shares, having an exercise price of $4.40 per share. |
(12) | On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 69,946 shares of the issuer's common stock granted to the reporting person on January 4, 2016. In exchange, the reporting person received a replacement option, for 39,970 shares, having an exercise price of $4.40 per share. |
(13) | The option provided for vesting of 1/4th of the shares underlying the option on January 4, 2018 and the remainder of the shares at a rate of 1/36th per month thereafter. |
(14) | On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 14,216 shares of the issuer's common stock granted to the reporting person on January 4, 2017. In exchange, the reporting person received a replacement option, for 9,478 shares, having an exercise price of $4.40 per share. |
(15) | The option vests in thirty six (36) equal consecutive monthly installments beginning on August 17, 2018. |
(16) | On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 70,784 shares of the issuer's common stock granted to the reporting person on January 4, 2017. In exchange, the reporting person received a replacement option, for 47,190 shares, having an exercise price of $4.40 per share. |