SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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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*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol IMMUNE DESIGN CORP. [ IMDZ ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 07/17/2018 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Rt to Buy) | $7.58 | 07/17/2018 | D | 52,768 | (1) | 10/01/2025 | Common Stock | 52,768 | (2) | 0 | D | ||||
Stock Option (Rt to Buy) | $4.4 | 07/17/2018 | A | 35,179 | (3) | 07/17/2025 | Common Stock | 35,179 | (2) | 35,179 | D | ||||
Stock Option (Rt to Buy) | $7.58 | 07/17/2018 | D | 87,232 | (1) | 10/01/2025 | Common Stock | 87,232 | (4) | 0 | D | ||||
Stock Option (Rt to Buy) | $4.4 | 07/17/2018 | A | 58,155 | (3) | 07/17/2025 | Common Stock | 58,155 | (4) | 58,155 | D | ||||
Stock Option (Rt to Buy) | $5.6 | 07/17/2018 | D | 625 | (5) | 01/04/2027 | Common Stock | 625 | (6) | 0 | D | ||||
Stock Option (Rt to Buy) | $4.4 | 07/17/2018 | A | 417 | (7) | 07/17/2025 | Common Stock | 417 | (6) | 417 | D | ||||
Stock Option (Rt to Buy) | $5.6 | 07/17/2018 | D | 29,375 | (5) | 01/04/2027 | Common Stock | 29,375 | (8) | 0 | D | ||||
Stock Option (Rt to Buy) | $4.4 | 07/17/2018 | A | 19,584 | (7) | 07/17/2025 | Common Stock | 19,584 | (8) | 19,584 | D |
Explanation of Responses: |
1. The option provided for vesting of 1/4th of the shares underlying the option on October 1, 2017 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 52,768 shares of the issuer's common stock granted to the reporting person on October 1, 2016. In exchange, the reporting person received a replacement option, for 35,179 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 87,232 shares of the issuer's common stock granted to the reporting person on November 1, 2016. In exchange, the reporting person received a replacement option, for 58,155 shares, having an exercise price of $4.40 per share. |
5. The option provided for 1/4th of the shares underlying the option on January 4, 2018 and the remainder of the shares underlying the option 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 625 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 417 shares, having an exercise price of $4.40 per share. |
7. The option vests in thirty six (36) equal consecutive monthly installments beginning on August 17, 2018. |
8. On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 29,375 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 19,584 shares, having an exercise price of $4.40 per share. |
Remarks: |
/s/ Stephen R. Brady, Attorney-In-Fact | 07/19/2018 | |
** 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 is insufficient, see Instruction 6 for procedure. | ||
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 Number. |