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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 | 12,743 | (1) | 06/23/2024 | Common Stock | 12,743 | (2) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 8,496 | (3) | 07/17/2025 | Common Stock | 8,496 | (2) | 8,496 | D | ||||
Stock Option (Rt to Buy) | $ 8.92 | 07/17/2018 | D | 66,767 | (1) | 06/23/2024 | Common Stock | 66,767 | (4) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 44,512 | (3) | 07/17/2025 | Common Stock | 44,512 | (4) | 44,512 | D | ||||
Stock Option (Rt to Buy) | $ 31 | 07/17/2018 | D | 2,450 | (5) | 01/07/2025 | Common Stock | 2,450 | (6) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 1,225 | (3) | 07/17/2025 | Common Stock | 1,225 | (6) | 1,225 | D | ||||
Stock Option (Rt to Buy) | $ 31 | 07/17/2018 | D | 97,550 | (5) | 01/07/2025 | Common Stock | 97,550 | (7) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 48,775 | (3) | 07/17/2025 | Common Stock | 48,775 | (7) | 48,775 | D | ||||
Stock Option (Rt to Buy) | $ 13 | 07/17/2018 | D | 90,000 | (8) | 10/30/2025 | Common Stock | 90,000 | (9) | 0 | D | ||||
Stock Option (rt to Buy) | $ 4.4 | 07/17/2018 | A | 60,000 | (3) | 07/17/2025 | Common Stock | 60,000 | (9) | 60,000 | D | ||||
Stock Option (Rt to Buy) | $ 19.39 | 07/17/2018 | D | 5,471 | (10) | 01/04/2026 | Common Stock | 5,471 | (11) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 3,127 | (3) | 07/17/2025 | Common Stock | 3,127 | (11) | 3,127 | D | ||||
Stock Option (Rt to Buy) | $ 19.39 | 07/17/2018 | D | 169,529 | (10) | 01/04/2026 | Common Stock | 169,529 | (12) | 0 | D | ||||
Stock Option (Rt to Buy) | $ 4.4 | 07/17/2018 | A | 96,874 | (3) | 07/17/2025 | Common Stock | 96,874 | (12) | 96,874 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Paya Carlos V C/O IMMUNE DESIGN CORP. 1616 EASTLAKE AVE. E., SUITE 310 SEATTLE, WA 98102 |
X | President and CEO |
/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 12,743 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 8,496 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 66,767 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 44,512 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 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 2,450 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 1,225 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 97,550 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 48,775 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 90,000 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 60,000 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 5,471 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 3,127 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 169,529 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 96,874 shares, having an exercise price of $4.40 per share. |