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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to GlobeImmune, Inc.
SEC Filings (Chronological Order)
Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.
| July 25, 2016 |
15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-35642 GlobeImmune, Inc. (Exact name of registrant as specified in |
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| July 15, 2016 |
S-8 POS As filed with the Securities and Exchange Commission on July 15, 2016 Registration No. |
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| July 15, 2016 |
S-8 POS As filed with the Securities and Exchange Commission on July 15, 2016 Registration No. |
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| July 15, 2016 |
25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-35642 GlobeImmune, Inc. The NASDAQ Stock Market LLC (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 1450 I |
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| July 5, 2016 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 5, 2016 (June 30, 2016) GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) ( |
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| July 5, 2016 |
GlobeImmune Announces Delisting and Deregistration of Common Stock EX-99.1 Exhibit 99.1 For Immediate Release GlobeImmune Announces Delisting and Deregistration of Common Stock LOUISVILLE, CO?(Marketwired ? July 5, 2016) ? GlobeImmune, Inc. (NASDAQ: GBIM) On June 30, 2016, the board of directors (the ?Board?) of GlobeImmune, Inc. (the ?Company?) made a determination to delist the Company?s Common Stock (the ?Common Stock?) from The NASDAQ Capital Market. On July |
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| May 19, 2016 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 19, 2016 (May 18, 2016) GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (C |
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| May 12, 2016 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 12, 2016 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commission File |
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| May 12, 2016 |
GlobeImmune Announces Updates and Financial Results for First Quarter 2016 Exhibit 99.1 For Immediate Release GlobeImmune Announces Updates and Financial Results for First Quarter 2016 LOUISVILLE, CO?(Marketwired ? May 12, 2016) ? GlobeImmune, Inc. (NASDAQ: GBIM) today provided an update on the Company?s business and clinical programs and announced financial results for the first quarter 2016. The Company continues to seek potential strategic transactions. Cantor Fitzger |
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| May 12, 2016 |
Third Amendment To Agreement and Restated Intellectual Property License Agreement Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. |
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| May 11, 2016 |
GlobeImmune 10-Q (Quarterly Report) gbim-10q20160331.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: |
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| April 28, 2016 |
GlobeImmune 10-K/A (Annual Report) 10-K/A 1 gbim-10ka20151231.htm 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commissi |
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| March 16, 2016 |
GlobeImmune Announces Updates and Financial Results for Full Year 2015 EX-99.1 Exhibit 99.1 For Immediate Release GlobeImmune Announces Updates and Financial Results for Full Year 2015 LOUISVILLE, CO?(Marketwired ? March 16, 2016) ? GlobeImmune, Inc. (NASDAQ: GBIM) today provided an update on the Company?s business and clinical programs and announced financial results for the full year ended December 31, 2015. The Company continues to seek potential strategic transac |
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| March 16, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 16, 2016 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commission Fil |
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| March 15, 2016 |
GlobeImmune 10-K (Annual Report) gbim-10k20151231.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001- |
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| February 24, 2016 |
GBIM / GlobeImmune, Inc. / Bartelt Jeffrey W - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* GlobeImmune, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 37957B100 (CUSIP Number) Heather M. Downs Russell, Whyte Hirschboeck Dudek S.C., 555 East Wells Street, Suite 1900, Milwaukee, WI 53202; (414) 273-2 |
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| February 23, 2016 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 23, 2016 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction (Commission (IRS Employer |
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| February 23, 2016 |
AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT EX-10.1 Exhibit 10.1 AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this ?Agreement?) is entered into by and between TIMOTHY C. RODELL (?Executive?) and GLOBEIMMUNE, INC. (the ?Company?). This Agreement shall become effective as of March 1, 2016 (the ?Effective Date?). Executive is employed by the Company as its President and Chief Executive Off |
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| February 16, 2016 |
Exhiit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated February 16, 2016 with respect to the shares of Common Stock of GlobeImmune, Inc., and any further amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k)(1) under the S |
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| February 16, 2016 |
GBIM / GlobeImmune, Inc. / Biotechnology Value Fund L P - SC 13G/A Passive Investment SC 13G/A 1 sc13ga107422glo02162016.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 GlobeImmune, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Clas |
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| February 12, 2016 |
GBIM / GlobeImmune, Inc. / MORGENTHALER PARTNERS VII LP - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 2)* GlobeImmune, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 37957B100 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Fili |
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| February 12, 2016 |
EX-99.1 2 d124315dex991.htm EX-99.1 Exhibit 99.1 AGREEMENT Pursuant to Rule 13d-1(k)(l) promulgated pursuant to the Securities Exchange Act of 1934, as amended, the undersigned agree that the attached Schedule 13G is being filed on behalf of each of the undersigned. EXECUTED this 12th day of February, 2016. SEQUEL LIMITED PARTNERSHIP III By: Sequel Venture Partners III, L.L.C, its general partner |
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| February 12, 2016 |
GBIM / GlobeImmune, Inc. / Sequel Limited Partnership III - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 GLOBEIMMUNE, INC. (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE (Title of Class of Securities) 37957B 100 (CUSIP Number) DECEMBER 31, 2015 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| February 3, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 3, 2016 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commission File |
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| November 13, 2015 |
GI-6200 PROGRAM LICENSE AGREEMENT Exhibit 10.2 Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. GI-6200 PROGRAM LICENSE AGREEMENT This GI-6200 Program License Agreement (together with any appendices attached hereto, this ?Agreement?) is made and |
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| November 13, 2015 |
GlobeImmune Announces Third Quarter 2015 Results and Corporate Highlights EX-99.1 2 d76544dex991.htm EX-99.1 Exhibit 99.1 For Immediate Release GlobeImmune Announces Third Quarter 2015 Results and Corporate Highlights LOUISVILLE, CO–(Marketwired – November 13, 2015) – GlobeImmune, Inc. (NASDAQ: GBIM), a biopharmaceutical company focused on developing products for the treatment of cancer and infectious diseases based on its proprietary Tarmogen® platform, today announced |
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| November 13, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 13, 2015 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commission |
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| November 13, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35642 GlobeImmune, Inc. |
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| November 13, 2015 |
Amendment #3 to CRADA #02264 ASSIGNMENT, ASSUMPTION AND CONSENT AGREEMENT Exhibit 10.3 Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. Amendment #3 to CRADA #02264 ASSIGNMENT, ASSUMPTION AND CONSENT AGREEMENT This Assignment, Assumption and Consent Agreement (this ?Assignment Agreeme |
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| November 13, 2015 |
AMENDMENT #5 TO THE COLLABORATION AND OPTION AGREEMENT Exhibit 10.1 Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. AMENDMENT #5 TO THE COLLABORATION AND OPTION AGREEMENT THIS AMENDMENT #5 TO THE COLLABORATION AND OPTION AGREEMENT (together with any appendices atta |
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| November 13, 2015 |
THE NATIONAL INSTITUTES OF HEALTH PATENT LICENSE AGREEMENT – EXCLUSIVE COVER PAGE Exhibit 10.4 Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. THE NATIONAL INSTITUTES OF HEALTH PATENT LICENSE AGREEMENT ? EXCLUSIVE COVER PAGE For the NIH internal use only: License Number: License Application |
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| August 14, 2015 |
GlobeImmune Announces Second Quarter 2015 Results and Corporate Highlights EX-99.1 Exhibit 99.1 For Immediate Release GlobeImmune Announces Second Quarter 2015 Results and Corporate Highlights LOUISVILLE, CO ? (Marketwired ? August 14, 2015) ? GlobeImmune, Inc. (NASDAQ: GBIM), a biopharmaceutical company focused on developing products for the treatment of cancer and infectious diseases based on its proprietary Tarmogen? platform, today announced its second quarter 2015 f |
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| August 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35642 GlobeImmune, Inc. |
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| August 14, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 14, 2015 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commission File N |
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| August 4, 2015 |
Celgene Exercises Early Option to Exclusively License GI-6207, a Novel Cancer Immunotherapy EX-99.1 Exhibit 99.1 Celgene Exercises Early Option to Exclusively License GI-6207, a Novel Cancer Immunotherapy LOUISVILLE, Colo., August 4, 2015 ? GlobeImmune, Inc. announced today that Celgene Corporation exercised its option under the 2009 Collaboration and Option Agreement to exclusively license GI-6207, a Tarmogen? product candidate targeting cancers that express carcinoembryonic antigen (CE |
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| August 4, 2015 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2015 (July 31, 2015) GLOBEIMMUNE, INC. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation |
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| July 17, 2015 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2015 (July 16, 2015) GLOBEIMMUNE, INC. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorpora |
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| July 13, 2015 |
Submission of Matters to a Vote of Security Holders Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 13, 2015 (July 9, 2015) GLOBEIMMUNE, INC. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporat |
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| June 11, 2015 |
Financial Statements and Exhibits, Costs Associated with Exit or Disposal Activities 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 11, 2015 (June 10, 2015) GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) |
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| June 11, 2015 |
GlobeImmune Announces Evaluation of Strategic Alternatives and Corporate Restructuring EX-99.1 Exhibit 99.1 GlobeImmune Announces Evaluation of Strategic Alternatives and Corporate Restructuring LOUISVILLE, Colo., June 10, 2015 ? GlobeImmune, Inc. (Nasdaq: GBIM) today announced that it is evaluating strategic options for the company. In conjunction with this process, the Board has authorized eliminating the majority of positions in its workforce. These steps are not expected to have |
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| June 5, 2015 |
GBIM / GlobeImmune, Inc. / Biotechnology Value Fund L P - THE SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 GlobeImmune, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 37957B 10 0 (CUSIP Number) May 27, 2015 (D |
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| June 5, 2015 |
Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated June 5, 2015 with respect to the shares of Common Stock of GlobeImmune, Inc., and any further amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k)(1) under the Secur |
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| May 27, 2015 |
EX-99.1 Exhibit 99.1 GlobeImmune Announces Top Line Results from GS-4774 Phase 2 Trial in Virally-Suppressed Chronic HBV Patients LOUISVILLE, Colo., May 27, 2015 ? GlobeImmune, Inc. (Nasdaq: GBIM) today announced top line results from the GS-4774 Phase 2 study in patients with chronic hepatitis B on long term viral suppression with an oral antiviral treatment. In this study, patients treated with |
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| May 27, 2015 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 27, 2015 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commission |
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| May 22, 2015 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 22, 2015 |
GlobeImmune DEFINITIVE ADDITIONAL MATERIALS Definitive Additional Materials UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35642 GlobeImmune, Inc. |
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| May 14, 2015 |
GlobeImmune FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 14, 2015 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commission |
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| May 14, 2015 |
GlobeImmune Announces First Quarter 2015 Results and Corporate Highlights EX-99.1 Exhibit 99.1 For Immediate Release GlobeImmune Announces First Quarter 2015 Results and Corporate Highlights LOUISVILLE, Colo., May 14, 2015 ? GlobeImmune, Inc. (Nasdaq: GBIM) today announced its first quarter 2015 financial results and corporate highlights. ?We are pleased with the progress made across all of our programs,? said Timothy C. Rodell, M.D., FCCP, President and CEO of GlobeImm |
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| April 29, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-35642 GlobeImmune, |
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| April 22, 2015 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 22, 2015 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commissio |
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| April 22, 2015 |
GlobeImmune Announces Opening of Randomized Phase 2 Chordoma Trial at National Cancer Institute EX-99.1 Exhibit 99.1 For Immediate Release GlobeImmune Announces Opening of Randomized Phase 2 Chordoma Trial at National Cancer Institute LOUISVILLE, Colo., April 22, 2015 ? GlobeImmune, Inc., today announced that a randomized Phase 2 clinical trial designed to investigate the safety and efficacy of GI-6301 in combination with radiation therapy in patients with chordoma is open for enrollment at |
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| April 2, 2015 |
GlobeImmune FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 2, 2015 (April 1, 2015) GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporat |
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| April 2, 2015 |
Exhibit 16.1 EXHIBIT 16.1 April 2, 2015 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for GlobeImmune Inc. and, under the date of March 17, 2015, we reported on the financial statements of GlobeImmune Inc. as of and for the years ended December 31, 2014 and 2013. On April 1, 2015, we were dismissed. We have read GlobeImmune |
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| March 17, 2015 |
National Institutes of Health FIRST AMENDMENT TO L-036-2012/0 Exhibit 10.15.1 Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. National Institutes of Health FIRST AMENDMENT TO L-036-2012/0 This is the first amendment (“First Amendment”) of the agreement by and between the |
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| March 17, 2015 |
Form S-8 As filed with the Securities and Exchange Commission on March 17, 2015 Registration No. |
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| March 17, 2015 |
GlobeImmune Announces Program Updates and Financial Results for Full Year 2014 EX-99.1 Exhibit 99.1 For Immediate Release GlobeImmune Announces Program Updates and Financial Results for Full Year 2014 LOUISVILLE, Colo., Mar. 17, 2015 ? GlobeImmune, Inc., (Nasdaq: GBIM) today provided an update on the Company?s business and clinical programs, and announced financial results for the full year ended December 31, 2014. ?We are pleased with the progress made across all of our pro |
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| March 17, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-35642 GlobeImmune, In |
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| March 17, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 17, 2015 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commissio |
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| February 17, 2015 |
GBIM / GlobeImmune, Inc. / MORGENTHALER PARTNERS VII LP - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 1)* GlobeImmune, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 37957B100 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Fili |
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| January 8, 2015 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 8, 2015 (January 6, 2015) GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorp |
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| November 12, 2014 |
GlobeImmune Announces Third Quarter 2014 Financial Results EX-99.1 Exhibit 99.1 For Immediate Release GlobeImmune Announces Third Quarter 2014 Financial Results LOUISVILLE, Colo., Nov. 12, 2014 – GlobeImmune, Inc. (Nasdaq: GBIM), today announced its third quarter 2014 financial results and corporate highlights. “Following the completion of our IPO in July, we have continued to advance our pipeline of Tarmogen® product candidates,” said Timothy C. Rodell, |
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| November 12, 2014 |
AMENDED AND RESTATED WARRANT TO PURCHASE STOCK Exhibit 4.1 The warrant to purchase stock issued by GlobeImmune, Inc. (the “Company”) to Oxford Finance Corporation on April 14, 2006 (the “Prior Warrant”) is hereby amended and restated in its entirety. This warrant is being issued pursuant to Section 2.2 of the Prior Warrant as a result of the conversion of the outstanding shares of the Company’s Series B Preferred Stock to common stock pursuant |
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| November 12, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 12, 2014 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commis |
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| November 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35642 GlobeImmune, Inc. |
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| October 17, 2014 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 17, 2014 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commiss |
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| October 17, 2014 |
EX-99.1 Exhibit 99.1 For Immediate Release Updated Chordoma Data from Phase 1 Study of GI-6301 Presented at 2014 Connective Tissue Oncology Society (CTOS) Annual Meeting Berlin, Germany, Oct. 17, 2014 – GlobeImmune, Inc., today announced that updated results from eleven chordoma patients in the GI-6301 Phase 1 trial were presented at the 2014 CTOS Annual Meeting in Berlin, Germany. Christopher R. |
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| October 9, 2014 |
GBIM / GlobeImmune, Inc. S-8 - - FORM S-8 S-8 1 d802395ds8.htm FORM S-8 As filed with the Securities and Exchange Commission on October 9, 2014 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 84-1353925 (State or other jurisdiction of Incorporation |
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| October 3, 2014 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 3, 2014 (September 30, 2014) GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of inc |
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| September 5, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q/A (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q/A (Amendment No. |
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| August 15, 2014 |
GLOBEIMMUNE, INC. SECOND AMENDED AND RESTATED WARRANT CERTIFICATE Exhibit 4.7 Investor Warrant Placement Agent Warrant No. THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS, AND, ACCORDINGLY, MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO TH |
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| August 15, 2014 |
AMENDED AND RESTATED WARRANT TO PURCHASE STOCK Exhibit 4.4 The warrant to purchase stock issued by GlobeImmune, Inc. (the ?Company?) to Oxford Finance Corporation on April 14, 2006 (the ?Prior Warrant?) is hereby amended and restated in its entirety. This warrant is being issued pursuant to Section 2.2 of the Prior Warrant as a result of the conversion of the outstanding shares of the Company?s Series B Preferred Stock to common stock pursuant |
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| August 15, 2014 |
GlobeImmune Announces Second Quarter 2014 Financial Results EX-99.1 Exhibit 99.1 For Immediate Release GlobeImmune Announces Second Quarter 2014 Financial Results LOUISVILLE, Colo., Aug. 15, 2014 – GlobeImmune, Inc., (Nasdaq: GBIM) today announced its second quarter 2014 corporate highlights and financial results. The net loss for the second quarter was $5.7 million, bringing the net loss for the year to $8.2 million. The Company believes that the proceeds |
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| August 15, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35642 GlobeImmune, Inc. |
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| August 15, 2014 |
AMENDED AND RESTATED WARRANT TO PURCHASE STOCK Exhibit 4.5 The warrant to purchase stock issued by GlobeImmune, Inc. (the “Company”) to Silicon Valley Bank on April 14, 2006 and assigned to SVB Financial Group (the “Prior Warrant”) is hereby amended and restated in its entirety. This warrant is being issued pursuant to Section 2.2 of the Prior Warrant as a result of the conversion of the outstanding shares of the Company’s Series B Preferred S |
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| August 15, 2014 |
GLOBEIMMUNE, INC. WARRANT TO PURCHASE COMMON STOCK Exhibit 4.6 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO SUCH SECURITIES UNDER THE ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED. GLOBEIMMUNE, IN |
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| August 15, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 15, 2014 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commissi |
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| July 17, 2014 |
GBIM / GlobeImmune, Inc. / HEALTHCARE VENTURES VII LP - SC 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13D-1(A) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13D-2(A) (Amendment No.)* GLOBEIMMUNE, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 37957B 100 (CUSIP Number) Jeffrey B. Steinberg HealthCare Vent |
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| July 11, 2014 |
GBIM / GlobeImmune, Inc. / MORGENTHALER PARTNERS VII LP - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. )* GlobeImmune, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 37957B100 (CUSIP Number) July 2, 2014 (Date of Event Which Requires Filing of |
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| July 9, 2014 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 8, 2014 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35642 84-1353925 (State or other jurisdiction of incorporation) (Commission File |
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| July 9, 2014 |
GBIM / GlobeImmune, Inc. / Celgene International Inc - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* GLOBEIMMUNE, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 37957B100 (CUSIP Number) July 8, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| July 9, 2014 |
EX-1 EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of shares of stock of GlobeImmune, Inc. |
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| July 9, 2014 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION GLOBEIMMUNE, INC. EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF GLOBEIMMUNE, INC. Timothy C. Rodell hereby certifies that: ONE: The date of filing the original Certificate of Incorporation of this company with the Secretary of State of the State of Delaware was June 5, 2002. TWO: He is the duly elected and acting President and Chief Executive Officer of GlobeImmune, Inc., a Delaware corpor |
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| July 2, 2014 |
Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-194606 PROSPECTUS 1,500,000 Shares Common Stock This is an initial public offering of GlobeImmune, Inc. We are offering 1,500,000 shares of our common stock. The initial public offering price of our common stock is $10.00 per share. Prior to this offering there has been no public market for our common stock. Our common stock h |
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| July 2, 2014 |
GBIM / GlobeImmune, Inc. POS EX - - POS EX POS EX As filed with the Securities and Exchange Commission on July 2, 2014. Registration No. 333-194606 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware 2834 84-1353925 (State or other jurisdicti |
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| June 30, 2014 |
GBIM / GlobeImmune, Inc. S-1/A - - S-1/A S-1/A Table of Contents As filed with the Securities and Exchange Commission on June 27, 2014 Registration No. |
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| June 30, 2014 |
Initial Public Offering – June 2014 Free Writing Prospectus Initial Public Offering – June 2014 Issuer Free Writing Prospectus Filed Pursuant to Rule 433 Registration No. |
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| June 27, 2014 |
Acceleration Request GlobeImmune, Inc. 1450 Infinite Drive Louisville, CO 80027 (303) 625-2744 June 27, 2014 VIA ELECTRONIC DELIVERY AND EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Jeffrey P. Riedler Amy Reischauer Re: GlobeImmune, Inc. Registration Statement on Form S-1 Filed: March 17, 2014 File No. 333-19 |
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| June 24, 2014 |
EX-1.1 Exhibit 1.1 UNDERWRITING AGREEMENT between GLOBEIMMUNE, INC. and AEGIS CAPITAL CORP., as Representative of the Several Underwriters GLOBEIMMUNE, INC. UNDERWRITING AGREEMENT New York, New York [—], 2014 Aegis Capital Corp. As Representative of the several Underwriters named on Schedule 1 attached hereto 810 Seventh Avenue, 18th Floor New York, New York 10019 Ladies and Gentlemen: The undersi |
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| June 24, 2014 |
GLOBEIMMUNE, INC. AMENDED AND RESTATED WARRANT CERTIFICATE EX-4.10 Exhibit 4.10 Investor Warrant Placement Agent Warrant No. THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS, AND, ACCORDINGLY, MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSU |
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| June 24, 2014 |
FWP Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated June 23, 2014 Relating to Preliminary Prospectus dated June 4, 2014 Registration No. |
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| June 24, 2014 |
CORRESP GlobeImmune, Inc. 1450 Infinite Drive Louisville, CO 80027 (303) 625-2744 June 24, 2014 VIA ELECTRONIC DELIVERY AND EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Jeffrey P. Riedler Amy Reischauer Re: GlobeImmune, Inc. Registration Statement on Form S-1 Filed: March 17, 2014 File No. 333-194606 Ladies a |
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| June 24, 2014 |
S-1/A As filed with the Securities and Exchange Commission on June 23, 2014 Registration No. |
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| June 24, 2014 |
GLOBEIMMUNE, INC. AMENDED AND RESTATED WARRANT CERTIFICATE EX-4.9 Exhibit 4.9 Placement Agent Note Warrant No. THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS, AND, ACCORDINGLY, MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE SEC |
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| June 23, 2014 |
CORRESP Brent D. Fassett (720) 566-4025 [email protected] June 23, 2014 United States Securities and Exchange Commission Division of Corporate Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Attn: Jeffrey Riedler Amy Reischauer Jim Peklenk Joel Parker Re: GlobeImmune, Inc. Registration Statement on Form S-1 (File No. 333-194606) Dear Mr. Riedler, Ms. Reischauer, Mr. Peklenk, and |
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| June 16, 2014 |
S-1/A As filed with the Securities and Exchange Commission on June 16, 2014 Registration No. |
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| June 16, 2014 |
COLLABORATION AND OPTION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. CELGENE CORPORATION EX-10.8 Exhibit 10.8 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. Execution Version COLLABORATION AND OPTION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. AND CELGENE CORPORATION [*] = Certain confidential information contained in this document |
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| June 12, 2014 |
Free Writing Prospectus Initial Public Offering June 2014 Issuer Free Writing Prospectus Filed Pursuant to Rule 433 Registration No. |
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| June 4, 2014 |
Table of Contents As filed with the Securities and Exchange Commission on June 4, 2014 Registration No. |
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| June 4, 2014 |
COLLABORATION AND OPTION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. CELGENE CORPORATION EX-10.8 Exhibit 10.8 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. Execution Version COLLABORATION AND OPTION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. AND CELGENE CORPORATION [*] = Certain confidential information contained in this document |
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| June 4, 2014 |
Correspondence Brent D. Fassett (720) 566-4025 [email protected] June 4, 2014 United States Securities and Exchange Commission Division of Corporate Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Attn: Jeffrey Riedler Amy Reischauer Jim Peklenk Andrew Mew Re: GlobeImmune, Inc. Registration Statement on Form S-1 (File No. 333-194606) Dear Mr. Riedler, Ms. Reischauer, Mr. Peklenk |
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| May 28, 2014 |
8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(B) OR (G) OF THE SECURITIES EXCHANGE ACT OF 1934 Globeimmune, Inc. |
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| May 21, 2014 |
EX-10.12 Exhibit 10.12 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT FOR INTRAMURAL-PHS CLINICAL RESEARCH This Agreement is based on the model Cooperative Research and Devel |
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| May 21, 2014 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT —EXCLUSIVE COVER PAGE EX-10.14 Exhibit 10.14 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT —EXCLUSIVE COVER PAGE For PHS internal use only: License Number: L-121-2011/0 License Application Number: A-343-2009 Serial Nu |
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| May 21, 2014 |
EXECUTIVE EMPLOYMENT AGREEMENT EX-10.6 Exhibit 10.6 EXECUTIVE EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between C. Jeffrey Dekker (“Executive”) and GLOBEIMMUNE, INC. (the “Company”). This Agreement shall become effective only upon such date when the Company has a Registration Statement on Form S-1 Registration Statement declared effective (the “Effective Date”). If the Company does |
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| May 21, 2014 |
AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT EX-10.8.3 Exhibit 10.8.3 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT THIS AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT (together with any appendices attached hereto, this “Ame |
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| May 21, 2014 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE EX-10.16 Exhibit 10.16 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE For PHS internal use only: License Number: L-067-2012/0 License Application Number: A-077-2012 Serial N |
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| May 21, 2014 |
AMENDMENT (1) AGREEMENT AND RESTATED INTELLECTUAL PROPERTY LICENSE AGREEMENT EX-10.11.1 Exhibit 10.11.1 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. Execution Version AMENDMENT (1) To AGREEMENT AND RESTATED INTELLECTUAL PROPERTY LICENSE AGREEMENT This Amendment to Agreement and Restated Intellectual Property License |
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| May 21, 2014 |
Brent D. Fassett (720) 566-4025 [email protected] May 21, 2014 United States Securities and Exchange Commission Division of Corporate Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Attn: Jeffrey Riedler Amy Reischauer Jim Peklenk Joel Parker Re: GlobeImmune, Inc. Registration Statement on Form S-1 (File No. 333-194606) Dear Mr. Riedler, Ms. Reischauer, Mr. Peklenk, and Mr. Park |
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| May 21, 2014 |
UNIVERSITY TECHNOLOGY CORPORATION RESTATED INTELLECTUAL PROPERTY LICENSE EX-10.11 9 d690449dex1011.htm EX-10.11 Exhibit 10.11 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. AGREEMENT Effective as of May 30, 2006, THE REGENTS OF THE UNIVERSITY OF COLORADO, a body corporate, having its principal office at 201 Regent |
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| May 21, 2014 |
Form S-1/A Table of Contents As filed with the Securities and Exchange Commission on May 21, 2014 Registration No. |
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| May 21, 2014 |
LICENSE AND COLLABORATION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. GILEAD SCIENCES, INC. EX-10.10 Exhibit 10.10 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. EXECUTION COPY LICENSE AND COLLABORATION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. AND GILEAD SCIENCES, INC. [*] = Certain confidential information contained in this docume |
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| May 21, 2014 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT – EXCLUSIVE COVER PAGE EX-10.13 Exhibit 10.13 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT – EXCLUSIVE COVER PAGE For PHS internal use only: License Number: L-127-2007/0 License Application Number: A-052-2007 Serial N |
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| May 21, 2014 |
COLLABORATION AND OPTION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. CELGENE CORPORATION EX-10.8 Exhibit 10.8 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. Execution Version COLLABORATION AND OPTION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. AND CELGENE CORPORATION [*] = Certain confidential information contained in this document |
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| May 21, 2014 |
EXECUTIVE EMPLOYMENT AGREEMENT EX-10.6.1 Exhibit 10.6.1 EXECUTIVE EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Kirk A. Christoffersen (“Executive”) and GLOBEIMMUNE, INC. (the “Company”). This Agreement shall become effective only upon such date when the Company has a Registration Statement on Form S-1 Registration Statement declared effective (the “Effective Date”). If the Com |
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| May 21, 2014 |
GI-6300 PROGRAM LICENSE AGREEMENT EX-10.9 Exhibit 10.9 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. GI-6300 PROGRAM LICENSE AGREEMENT THIS GI-6300 PROGRAM LICENSE AGREEMENT (together with any appendices attached hereto, this “Agreement”) is made and entered into as of July 2 |
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| May 21, 2014 |
EX-10.12.1 Exhibit 10.12.1 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. CONFIDENTIAL GlobeImmune, Inc.-NCI CRADA #02264 Amendment # 1 Cooperative Research and Development Agreement # 2264 “Preclinical and Clinical Development of GlobeImmune, |
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| May 21, 2014 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE EX-10.15 15 d690449dex1015.htm EX-10.15 Exhibit 10.15 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE For PHS internal use only: License Number: L-036-2012/0 License Applicat |
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| April 29, 2014 |
FOURTH AMENDMENT TO LEASE AGREEMENT EX-10.7.4 10 d690449dex1074.htm EX-10.7.4 Exhibit 10.7.4 FOURTH AMENDMENT TO LEASE AGREEMENT This FOURTH AMENDMENT TO LEASE AGREEMENT (“Amendment”) is dated as of April 14, 2014 (the “Effective Date”), and is made and entered into by and between SF INFINITE DRIVE, LLC, a Delaware limited liability company (“Landlord”), and GLOBEIMMUNE, INC., a Delaware corporation (“Tenant”). Recitals: This Amendm |
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| April 29, 2014 |
GLOBEIMMUNE, INC. WARRANT CERTIFICATE EX-4.10 Exhibit 4.10 Investor Warrant Placement Agent Warrant No. THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS, AND, ACCORDINGLY, MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSU |
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| April 29, 2014 |
EX-1.1 Exhibit 1.1 UNDERWRITING AGREEMENT between GLOBEIMMUNE, INC. and AEGIS CAPITAL CORP., as Representative of the Several Underwriters GLOBEIMMUNE, INC. UNDERWRITING AGREEMENT New York, New York [], 2014 Aegis Capital Corp. As Representative of the several Underwriters named on Schedule 1 attached hereto 810 Seventh Avenue, 18th Floor New York, New York 10019 Ladies and Gentlemen: The undersi |
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| April 29, 2014 |
EX-4.13 Exhibit 4.13 FORM OF WARRANT THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO SUCH SECURITIES UNDER THE ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT |
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| April 29, 2014 |
CERTIFICATE OF AMENDMENT CERTIFICATE OF INCORPORATION GLOBEIMMUNE, INC. EX-3.2.1 Exhibit 3.2.1 CERTIFICATE OF AMENDMENT TO RESTATED CERTIFICATE OF INCORPORATION OF GLOBEIMMUNE, INC. GlobeImmune, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “General Corporation Law”), hereby certifies as follows: FIRST: The name of the corporation is GlobeImmune, Inc. (the “Corporation”). The date of filing |
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| April 29, 2014 |
EX-10.2 Exhibit 10.2 GLOBEIMMUNE, INC. 2014 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: APRIL 25, 2014 APPROVED BY THE STOCKHOLDERS: APRIL 25, 2014 1. GENERAL. (a) Successor to and Continuation of Prior Plan. The Plan is intended as the successor to and continuation of the GlobeImmune, Inc. 2002 Stock Incentive Plan (the “Prior Plan”). From and after 12:01 a.m. Mountain Time on the Ef |
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| April 29, 2014 |
S-1/A Table of Contents As filed with the Securities and Exchange Commission on April 29, 2014 Registration No. |
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| April 29, 2014 |
GLOBEIMMUNE, INC. WARRANT CERTIFICATE EX-4.9 Exhibit 4.9 Placement Agent Note Warrant No. THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS, AND, ACCORDINGLY, MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE SEC |
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| April 29, 2014 |
Form of Representative’s Warrant Agreement EX-4.11 Exhibit 4.11 Form of Representative’s Warrant Agreement THE REGISTERED HOLDER OF THIS PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUN |
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| April 29, 2014 |
EX-10.3 Exhibit 10.3 GLOBEIMMUNE, INC. 2014 EMPLOYEE STOCK PURCHASE PLAN ADOPTED BY THE BOARD OF DIRECTORS: APRIL 25, 2014 APPROVED BY THE STOCKHOLDERS: APRIL 25, 2014 1. GENERAL; PURPOSE. (a) The Plan provides a means by which Eligible Employees of the Company and certain designated Related Corporations may be given an opportunity to purchase shares of Common Stock. The Plan permits the Company t |
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| April 29, 2014 |
Correspondence Brent D. Fassett (720) 566-4025 [email protected] April 29, 2014 United States Securities and Exchange Commission Division of Corporate Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Attn: Jeffrey Riedler Amy Reischauer Jim Peklenk Joel Parker Re: GlobeImmune, Inc. Registration Statement on Form S-1 (File No. 333-194606) Dear Mr. Riedler, Ms. Reischauer, Mr. Pekl |
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| March 17, 2014 |
AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT EX-10.8.3 Exhibit 10.8.3 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT THIS AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT (together with any appendices attached hereto, this “Ame |
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| March 17, 2014 |
GLOBEIMMUNE, INC. EMPLOYEE PROPRIETARY INFORMATION AND INVENTIONS AGREEMENT EX-10.18 Exhibit 10.18 GLOBEIMMUNE, INC. EMPLOYEE PROPRIETARY INFORMATION AND INVENTIONS AGREEMENT In consideration of my employment or continued employment by GLOBEIMMUNE, INC. (the “Company”), and the compensation now and hereafter paid to me, I hereby agree as follows: 1. NONDISCLOSURE. 1.1 Recognition of Company’s Rights; Nondisclosure. At all times during my employment and thereafter, I will |
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| March 17, 2014 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT —EXCLUSIVE COVER PAGE EX-10.14 Exhibit 10.14 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT —EXCLUSIVE COVER PAGE For PHS internal use only: License Number: L-121-2011/0 License Application Number: A-343-2009 Serial Nu |
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| March 17, 2014 |
GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT EX-10.11.6 Exhibit 10.11.6 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 406 OF THE SECURITIES ACT OF 1933, AS AMENDED. GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the “Agreement”) is made as of the 25th day of August 2005, by and between GLOBEIMMUNE, INC., a |
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| March 17, 2014 |
GLOBEIMMUNE, INC. 2002 STOCK INCENTIVE PLAN INCENTIVE STOCK OPTION AGREEMENT(1) EX-10.1.1 18 d690449dex1011.htm EX-10.1.1 Exhibit 10.1.1 GLOBEIMMUNE, INC. 2002 STOCK INCENTIVE PLAN INCENTIVE STOCK OPTION AGREEMENT(1) GLOBEIMMUNE, INC., a Delaware corporation (the “Corporation”), hereby grants an option to purchase shares of its Common Stock, $.001 par value, (the “Stock”) to the optionee named below (the “Optionee”). The terms and conditions of the option are set forth in thi |
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| March 17, 2014 |
LICENSE AND COLLABORATION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. GILEAD SCIENCES, INC. EX-10.10 Exhibit 10.10 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. EXECUTION COPY LICENSE AND COLLABORATION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. AND GILEAD SCIENCES, INC. [*] = Certain confidential information contained in this docume |
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| March 17, 2014 |
EX-10.13.2 Exhibit 10.13.2 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE SECOND AMENDMENT TO PATENT LICENSE AGREEMENT — EXCLUSIVE (LICENSE NUMBER: L-127-2007/0) (AMENDMENT NUMBER: L-127-2007/2) This is the second amendme |
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| March 17, 2014 |
AMENDMENT (1) AGREEMENT AND RESTATED INTELLECTUAL PROPERTY LICENSE AGREEMENT EX-10.11.1 Exhibit 10.11.1 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. Execution Version AMENDMENT (1) To AGREEMENT AND RESTATED INTELLECTUAL PROPERTY LICENSE AGREEMENT This Amendment to Agreement and Restated Intellectual Property License |
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| March 17, 2014 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT – EXCLUSIVE COVER PAGE EX-10.13 Exhibit 10.13 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT – EXCLUSIVE COVER PAGE For PHS internal use only: License Number: L-127-2007/0 License Application Number: A-052-2007 Serial N |
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| March 17, 2014 |
SECOND AMENDMENT AGREEMENT AND RESTATED INTELLECTUAL PROPERTY LICENSE AGREEMENT EX-10.11.2 Exhibit 10.11.2 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. SECOND AMENDMENT To AGREEMENT AND RESTATED INTELLECTUAL PROPERTY LICENSE AGREEMENT This Second Amendment to Agreement and Restated Intellectual Property License Agreemen |
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| March 17, 2014 |
GI-6300 PROGRAM LICENSE AGREEMENT EX-10.9 Exhibit 10.9 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. GI-6300 PROGRAM LICENSE AGREEMENT THIS GI-6300 PROGRAM LICENSE AGREEMENT (together with any appendices attached hereto, this “Agreement”) is made and entered into as of July 2 |
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| March 17, 2014 |
Amendment # 2 to the Collaboration and Option Agreement EX-10.8.2 32 d690449dex1082.htm EX-10.8.2 Exhibit 10.8.2 Amendment # 2 to the Collaboration and Option Agreement This is a Second Amendment (“Amendment #2”) to the Collaboration and Option Agreement dated May 14th 2009 (the “Agreement) by and between Celgene Corporation, a Delaware Corporation having a place of business at 86 Morris Avenue, Summit, New Jersey 07901 (“Celgene”), and GlobeImmune, In |
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| March 17, 2014 |
EX-4.4 Exhibit 4.4 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF ARTICLE 5 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND APPLICABLE STATE SECURITIES LA |
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| March 17, 2014 |
EX-10.2 Exhibit 10.2 GLOBEIMMUNE, INC. 2014 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: [•], 2014 APPROVED BY THE STOCKHOLDERS: [•], 2014 EFFECTIVE DATE: [•], 2014 1. GENERAL. (a) Successor to and Continuation of Prior Plan. The Plan is intended as the successor to and continuation of the GlobeImmune, Inc. 2002 Stock Incentive Plan (the “Prior Plan”). From and after 12:01 a.m. Mountai |
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| March 17, 2014 |
EX-10.7 Exhibit 10.7 LEASE THIS LEASE (“Lease”), dated as of OCTOBER 25, 2005, is made by and between TRIUMPH 1450 LLC, a Colorado limited liability company (“Landlord”), and GLOBEIMMUNE, INC., a Delaware corporation (“Tenant”) (collectively, the “Parties,” and individually, a “Party”). RECITALS A. Maxtor Realty Corporation, a Delaware corporation (“Maxtor Realty”), is the fee owner of certain rea |
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| March 17, 2014 |
SECOND AMENDMENT TO LEASE AGREEMENT EX-10.7.2 Exhibit 10.7.2 SECOND AMENDMENT TO LEASE AGREEMENT THIS SECOND AMENDMENT TO LEASE AGREEMENT (this “Amendment”) is made and entered into as of this 3rd day of June, 2010 (the “Effective Date”), by and between SF INFINITE DRIVE LLC, a Delaware limited liability company (“Landlord”), and GLOBEIMMUNE, INC., a Delaware corporation (“Tenant”). WITNESSETH WHEREAS, Tenant and Triumph 1450, LLC, |
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| March 17, 2014 |
COLLABORATION AND OPTION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. CELGENE CORPORATION EX-10.8 Exhibit 10.8 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. Execution Version COLLABORATION AND OPTION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. AND CELGENE CORPORATION [*] = Certain confidential information contained in this document |
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| March 17, 2014 |
EX-3.1 Exhibit 3.1 State of Delaware Secretary of State Division of Corporations Delivered 02:39 PM 06/14/2012 FILED 2:39 PM 06/14/2012 SRV 120739722 – 3533580 FILE RESTATED CERTIFICATE OF INCORPORATION OF GLOBEIMMUNE, INC. (Pursuant to Section 245 of the General Corporation Law of the State of Delaware) GlobeImmune, Inc., a corporation organized and existing under and by virtue of the provisions |
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| March 17, 2014 |
GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT EX-10.11.5 Exhibit 10.11.5 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 406 OF THE SECURITIES ACT OF 1933, AS AMENDED. GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the “Agreement”) is made as of the 7th day of September, 2004, by and between GLOBEIMMUNE, INC. |
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| March 17, 2014 |
EX-10.12 Exhibit 10.12 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT FOR INTRAMURAL-PHS CLINICAL RESEARCH This Agreement is based on the model Cooperative Research and Devel |
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| March 17, 2014 |
EX-10.12.1 Exhibit 10.12.1 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. CONFIDENTIAL GlobeImmune, Inc.-NCI CRADA #02264 Amendment # 1 Cooperative Research and Development Agreement # 2264 “Preclinical and Clinical Development of GlobeImmune, |
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| March 17, 2014 |
EX-10.13.1 Exhibit 10.13.1 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE FIRST AMENDMENT TO PATENT LICENSE AGREEMENT — EXCLUSIVE (LICENSE NUMBER: L-127-2007/0) (AMENDMENT NUMBER: L-127-2007/1) This is the first amendment |
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| March 17, 2014 |
EX-10.8.4 34 d690449dex1084.htm EX-10.8.4 Exhibit 10.8.4 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 406 OF THE SECURITIES ACT OF 1933, AS AMENDED. October 24, 2011 Timothy C. Rodell, M.D. President and CEO GlobeImmune, Inc. 1450 Infinite Dr. Louisville CO 80027 Sent via Federal Express |
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| March 17, 2014 |
EX-4.2 Exhibit 4.2 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO SUCH SECURITIES UNDER THE ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED. GLOBEIMM |
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| March 17, 2014 |
GLOBEIMMUNE, INC. AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT EX-4.12.1 Exhibit 4.12.1 GLOBEIMMUNE, INC. AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT THIS AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT (this “Amendment”) is entered into as of August 31, 2012 by and among GLOBEIMMUNE, INC., a Delaware corporation (the “Corporation”), and the securityholders of the Corporation listed on listed on the signature page |
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| March 17, 2014 |
EX-3.4 Exhibit 3.4 AMENDED AND RESTATED BYLAWS OF GLOBEIMMUNE, INC. (A DELAWARE CORPORATION) TABLE OF CONTENTS PAGE ARTICLE I OFFICES 1 Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II CORPORATE SEAL 1 Section 3. Corporate Seal 1 ARTICLE III STOCKHOLDERS’ MEETINGS 1 Section 4. Place of Meetings 1 Section 5. Annual Meeting 2 Section 6. Special Meetings 4 Section 7. Notice of Mee |
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| March 17, 2014 |
EX-10.12.2 Exhibit 10.12.2 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. CONFIDENTIAL GlobeImmune, Inc.-NCI CRADA #02264 Amendment # 2 Cooperative Research and Development Agreement #02264 “Preclinical and Clinical Development of GlobeImmune, |
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| March 17, 2014 |
EX-10.19 Exhibit 10.19 December 17, 2013 CONFIDENTIAL Timothy C. Rodell, M.D., FCCP President and CEO GlobeImmune, Inc. 1450 Infinite Drive Louisville, CO 80027 Re: Initial Public Offering Dear Tim: The purpose of this engagement letter is to outline our agreement in principle pursuant to which Aegis Capital Corp. (“Aegis”) will act as the lead underwriter on a firm commitment basis in connection |
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| March 17, 2014 |
EX-10.7.1 Exhibit 10.7.1 LEASE AMENDMENT THIS LEASE AMENDMENT (“Amendment”), dated as of August 25, 2006, amends that certain lease agreement (“Lease”) dated October 25, 2005 between TRIUMPH 1450, LLC AND MRA DESERT VILLAS, LLC as tenants-in-common (successor-in-interest to Triumph 1450, LLC) (“Landlord”) and GLOBEIMMUNE, INC. (“Tenant”) covering premises located at 1450 Infinite Drive, Louisville |
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| March 17, 2014 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE EX-10.16 Exhibit 10.16 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE For PHS internal use only: License Number: L-067-2012/0 License Application Number: A-077-2012 Serial N |
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| March 17, 2014 |
EXECUTIVE EMPLOYMENT AGREEMENT EX-10.5 Exhibit 10.5 EXECUTIVE EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between TIMOTHY C. RODELL (“Executive”) and GLOBEIMMUNE, INC. (the “Company”). This Agreement shall become effective only upon such date when the Company has a Registration Statement on Form S-1 Registration Statement declared effective (the “Effective Date”). If the Company does |
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| March 17, 2014 |
EXECUTIVE EMPLOYMENT AGREEMENT EX-10.6 Exhibit 10.6 EXECUTIVE EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between [NAME] (“Executive”) and GLOBEIMMUNE, INC. (the “Company”). This Agreement shall become effective only upon such date when the Company has a Registration Statement on Form S-1 Registration Statement declared effective (the “Effective Date”). If the Company does not have a |
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| March 17, 2014 |
CONVERTIBLE TERM NOTE U.S. $__________ [Date of Note] EX-4.8 Exhibit 4.8 THIS NOTE AND THE SECURITIES ISSUABLE UPON CONVERSION OF THIS NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS, AND, ACCORDINGLY, MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE SECURITIES ACT OF 1933, AS AMENDED, (II) |
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| March 17, 2014 |
GLOBEIMMUNE, INC. 2014 PERFORMANCE-BASED NON-EQUITY INCENTIVE PLAN EX-10.17 Exhibit 10.17 GLOBEIMMUNE, INC. 2014 PERFORMANCE-BASED NON-EQUITY INCENTIVE PLAN 1. GENERAL. (a) Eligible Bonus Award Recipients. The persons eligible to receive Bonus Awards are Officers. (b) Form of Bonus Awards. All Bonus Awards under the Bonus Plan will be paid in cash. (c) Purpose. The Company, by means of the Bonus Plan, seeks to secure and retain the services of the group of person |
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| March 17, 2014 |
FIRST AMENDMENT TO LICENSE AND COLLABORATION AGREEMENT EX-10.10.1 Exhibit 10.10.1 FIRST AMENDMENT TO LICENSE AND COLLABORATION AGREEMENT This First Amendment (the “First Amendment”), is made as of December 14, 2012, by and between GlobeImmune, Inc., a Delaware corporation with a principal place of business at 1450 Infinite Drive, Louisville, CO 80027 (“GlobeImmune”) and Gilead Sciences, Inc., a Delaware corporation, with a principal place of business |
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| March 17, 2014 |
Registration Statement - FORM S-1 Form S-1 Table of Contents As filed with the Securities and Exchange Commission on March 14, 2014 Registration No. |
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| March 17, 2014 |
EX-4.6 Exhibit 4.6 THIS CONVERTIBLE PROMISSORY NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. NO SALE OR DISPOSITION MAY BE EFFECTED EXCEPT IN COMPLIANCE WITH RULE 144 UNDER SAID ACT OR AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL FOR THE HOLDER SATISFACTORY TO THE COMPANY (AS DEFINED BELOW) THAT SUCH REGISTRATION IS NOT REQUIRED UNDER TH |
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| March 17, 2014 |
EX-3.5 EXHIBIT 3.5 AMENDED AND RESTATED BYLAWS OF GLOBEIMMUNE, INC. (A DELAWARE CORPORATION) TABLE OF CONTENTS PAGE ARTICLE I OFFICES 1 Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II CORPORATE SEAL 1 Section 3. Corporate Seal 1 ARTICLE III STOCKHOLDERS’ MEETINGS 1 Section 4. Place Of Meetings 1 Section 5. Annual Meetings 1 Section 6. Special Meetings 6 Section 7. Notice Of Me |
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| March 17, 2014 |
EX-4.3 9 d690449dex43.htm EX-4.3 Exhibit 4.3 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF ARTICLE 5 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND APPL |
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| March 17, 2014 |
GLOBEIMMUNE, INC. WARRANT CERTIFICATE EX-4.7 Exhibit 4.7 Warrant No. THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS, AND, ACCORDINGLY, MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE SECURITIES ACT OF 1933, |
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| March 17, 2014 |
EX-4.1 Exhibit 4.1 . 016570| 003590|127C|RESTRICTED||4|057-423 NNNNN COMMON STOCK COMMON STOCK PAR VALUE $0.001 THIS CERTIFICATE IS TRANSFERABLE IN CANTON, MA AND NEW YORK, NY Certificate Shares Number **000000****** ***000000***** ZQ 000000 [GRAPHIC APPEARS HERE] ****000000**** *****000000*** GLOBEIMMUNE, INC. ******000000** INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE ** Mr. Alexander Da |
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| March 17, 2014 |
GLOBEIMMUNE, INC. STOCK OPTION GRANT NOTICE (2014 EQUITY INCENTIVE PLAN) Exhibit 10.2.1 GLOBEIMMUNE, INC. STOCK OPTION GRANT NOTICE (2014 EQUITY INCENTIVE PLAN) GlobeImmune, Inc. (the “Company”), pursuant to its 2014 Equity Incentive Plan (the “Plan”), hereby grants to Optionholder an option to purchase the number of shares of the Company’s Common Stock set forth below. This option is subject to all of the terms and conditions as set forth in this notice, in the Option |
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| March 17, 2014 |
EX-10.20 Exhibit 10.20 PLACEMENT AGENCY AGREEMENT January 27, 2014 Aegis Capital Corp. 810 Seventh Ave, 11th Floor New York, NY 10019 Re: GlobeImmune, Inc. Ladies and Gentlemen: This Placement Agency Agreement (“Agreement”) sets forth the terms upon which Aegis Capital Corp., a New York corporation, and a registered broker-dealer and member of the Financial Industry Regulatory Authority (“FINRA”) |
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| March 17, 2014 |
GLOBEIMMUNE, INC. 2002 STOCK INCENTIVE PLAN NON-QUALIFIED STOCK OPTION AGREEMENT EX-10.1.2 Exhibit 10.1.2 GLOBEIMMUNE, INC. 2002 STOCK INCENTIVE PLAN NON-QUALIFIED STOCK OPTION AGREEMENT GLOBEIMMUNE, INC., a Delaware corporation (the “Corporation”), hereby grants an option to purchase shares of its Common Stock, $.001 par value, (the “Stock”) to the optionee named below (the “Optionee”). The terms and conditions of the option are set forth in this cover sheet, in the attachmen |
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| March 17, 2014 |
GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT EX-10.11.3 Exhibit 10.11.3 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 406 OF THE SECURITIES ACT OF 1933, AS AMENDED. GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the “Agreement”) is made as of the 8th day of August, 2003, by and between GLOBEIMMUNE, INC., a |
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| March 17, 2014 |
EX-10.1 Exhibit 10.1 GLOBEIMMUNE, INC. 2002 STOCK INCENTIVE PLAN Termination Date: December 31, 2017 TABLE OF CONTENTS Page 1. PURPOSE 1 2. DEFINITIONS 1 3. ADMINISTRATION OF THE PLAN 4 3.1 Board 4 3.2 Committee 5 3.3 Grants 5 3.4 Deferral Arrangement 6 3.5 No Liability 6 4. STOCK SUBJECT TO THE PLAN 6 5. GRANT ELIGIBILITY 7 5.1 Employees and Other Service Providers 7 5.2 Successive Grants 7 5.3 L |
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| March 17, 2014 |
UNIVERSITY TECHNOLOGY CORPORATION RESTATED INTELLECTUAL PROPERTY LICENSE EX-10.11 Exhibit 10.11 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. AGREEMENT Effective as of May 30, 2006, THE REGENTS OF THE UNIVERSITY OF COLORADO, a body corporate, having its principal office at 201 Regent Hall, Regent Drive, Boulder, C |
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| March 17, 2014 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE EX-10.15 Exhibit 10.15 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE For PHS internal use only: License Number: L-036-2012/0 License Application Number: A-293-2011 Serial N |
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| March 17, 2014 |
Amendment # 1 to the Collaboration and Option Agreement EX-10.8.1 Exhibit 10.8.1 Amendment # 1 to the Collaboration and Option Agreement This is an Amendment (“Amendment”) to the Collaboration and Option Agreement dated May 14th 2009 (the “Agreement) by and between Celgene Corporation, a Delaware corporation having a place of business at 86 Morris Avenue, Summit, New Jersey 07901 (“Celgene”), and GlobeImmune, Inc., a Delaware corporation having a place |
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| March 17, 2014 |
GLOBEIMMUNE, INC. FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT EX-4.12 Exhibit 4.12 GLOBEIMMUNE, INC. FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT THIS FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT (this “Agreement”) is entered into as of January 14, 2010 by and among GLOBEIMMUNE, INC., a Delaware corporation (the “Corporation”), those original stockholders of the Corporation listed on Schedule 1 hereto (hereinafter referred to collectively as the “O |
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| March 17, 2014 |
GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT EX-10.11.4 Exhibit 10.11.4 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 406 OF THE SECURITIES ACT OF 1933, AS AMENDED. GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the “Agreement”) is made effective October 15, 2003, by and between GLOBEIMMUNE, INC., a Delawa |
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| March 17, 2014 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION GLOBEIMMUNE, INC. EX-3.3 Exhibit 3.3 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF GLOBEIMMUNE, INC. Timothy C. Rodell hereby certifies that: ONE: The date of filing the original Certificate of Incorporation of this company with the Secretary of State of the State of Delaware was June 5, 2002. TWO: He is the duly elected and acting President and Chief Executive Officer of GlobeImmune, Inc., a Delaware corpor |
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| March 17, 2014 |
CERTIFICATE OF AMENDMENT CERTIFICATE OF INCORPORATION GLOBEIMMUNE, INC. EX-3.2 Exhibit 3.2 CERTIFICATE OF AMENDMENT TO RESTATED CERTIFICATE OF INCORPORATION OF GLOBEIMMUNE, INC. GlobeImmune, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “General Corporation Law”), hereby certifies as follows: FIRST: The name of the corporation is GlobeImmune, Inc. (the “Corporation”). The date of filing of t |
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| March 17, 2014 |
THIRD AMENDMENT TO LEASE AGREEMENT EX-10.7.3 Exhibit 10.7.3 THIRD AMENDMENT TO LEASE AGREEMENT This THIRD AMENDMENT TO LEASE AGREEMENT (“Amendment”) is dated as of October 31, 2013 (the “Effective Date”), and is made and entered into by and between SF INFINITE DRIVE, LLC, a Delaware limited liability company (“Landlord”), and GLOBEIMMUNE, INC., a Delaware corporation (“Tenant”). Recitals: This Amendment is made with reference to th |
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| March 17, 2014 |
GLOBEIMMUNE, INC. INDEMNIFICATION AGREEMENT EX-10.4 Exhibit 10.4 GLOBEIMMUNE, INC. INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into this , 20 by and between GLOBEIMMUNE, INC., a Delaware corporation (the “Corporation”), and (“Agent”). RECITALS A. Agent performs a valuable service to the Corporation in the capacity as a director, officer, employee or agent of the Corporation. B. The stockho |
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| March 17, 2014 |
EX-4.5 Exhibit 4.5 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO SUCH SECURITIES UNDER THE ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED. GLOBEIMM |
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| March 17, 2014 |
EX-10.3 22 d690449dex103.htm EX-10.3 Exhibit 10.3 GLOBEIMMUNE, INC. 2014 EMPLOYEE STOCK PURCHASE PLAN ADOPTED BY THE BOARD OF DIRECTORS: [—], 2014 APPROVED BY THE STOCKHOLDERS: [—], 2014 1. GENERAL; PURPOSE. (a) The Plan provides a means by which Eligible Employees of the Company and certain designated Related Corporations may be given an opportunity to purchase shares of Common Stock. The Plan pe |
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| October 30, 2013 |
Registration Withdrawal October 30, 2013 Rose Zukin Division of Corporation Finance Securities and Exchange Commission 100 F. |
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| September 5, 2012 |
Amendment No. 3 to Form S-1 Table of Contents As filed with the Securities and Exchange Commission on September 4, 2012 Registration No. 333-182512 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware (State or othe |
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| September 5, 2012 |
GLOBEIMMUNE, INC. Shares of Common Stock UNDERWRITING AGREEMENT Form of Underwriting Agreement Exhibit 1.1 GLOBEIMMUNE, INC. Shares of Common Stock UNDERWRITING AGREEMENT Dated: , 2012 Table of Contents Page SECTION 1. Representations and Warranties 2 SECTION 2. Sale and Delivery to Underwriters; Closing 14 SECTION 3. Covenants of the Company 16 SECTION 4. Payment of Expenses 20 SECTION 5. Conditions of Underwriters’ Obligations 20 SECTION 6. Indemnification 2 |
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| September 5, 2012 |
GLOBEIMMUNE, INC. AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT Amendment No. 1 to Fifth Amended and Restated Stockholders Agreement Exhibit 4.9.1 GLOBEIMMUNE, INC. AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT THIS AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT (this “Amendment”) is entered into as of August 31, 2012 by and among GLOBEIMMUNE, INC., a Delaware corporation (the “Corporation”), and the securityholders |
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| September 5, 2012 |
Form 8-A 12(b) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(B) OR (G) OF THE SECURITIES EXCHANGE ACT OF 1934 GlobeImmune, Inc. |
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| September 5, 2012 |
CERTIFICATE OF AMENDMENT CERTIFICATE OF INCORPORATION GLOBEIMMUNE, INC. Certificate of Amendment to the Amended & Restated Certificate of Incorporation Exhibit 3. |
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| August 16, 2012 |
AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT Amendment # 3 to the Collaboration and Option Agreement Exhibit 10.8.3 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT THIS AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT |
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| August 16, 2012 |
- OPTION EXTENSION AGREEMENT BETWEEN REGISTRANT AND CELGENE CORPORATION Option Extension Agreement between Registrant and Celgene Corporation Exhibit 10.8.5 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended. July 23, 2012 Timothy C. Rodell, M.D. Chief Executive Officer and President GlobeImmune, Inc. 1450 Infinite Dr. |
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| August 16, 2012 |
- FORM OF AMENDED AND RESTATED CERTIFICATE FO INCORPORATION OF REGISTRANT Form of Amended and Restated Certificate fo Incorporation of Registrant EXHIBIT 3. |
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| August 16, 2012 |
Form of 2012 Equity Incentive Plan Exhibit 10.2 GLOBEIMMUNE, INC. 2012 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: AUGUST 7, 2012 APPROVED BY THE STOCKHOLDERS: AUGUST [•], 2012 EFFECTIVE DATE: [•], 2012 1. GENERAL. (a) Successor to and Continuation of Prior Plan. The Plan is intended as the successor to and continuation of the GlobeImmune, Inc. 2002 Stock Incentive Plan (the “Prior Pl |
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| August 16, 2012 |
- PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT - EXCLUSIVE (L-067-2012/0) Public Health Service Patent License Agreement - Exclusive (L-067-2012/0) Exhibit 10. |
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| August 16, 2012 |
GLOBEIMMUNE, INC. 2012 PERFORMANCE-BASED NON-EQUITY INCENTIVE PLAN Management Non-Equity Incentive Plan Exhibit 10.17 GLOBEIMMUNE, INC. 2012 PERFORMANCE-BASED NON-EQUITY INCENTIVE PLAN 1. GENERAL. (a) Eligible Bonus Award Recipients. The persons eligible to receive Bonus Awards are Officers. (b) Form of Bonus Awards. All Bonus Awards under the Bonus Plan will be paid in cash. (c) Purpose. The Company, by means of the Bonus Plan, seeks to secure and retain the ser |
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| August 16, 2012 |
- FIELD-OF-USE NON-EXCLUSIVE LICENSE AGREEMENT FOR YEAST-BASED DELIVERY VEHICLES Field-Of-Use Non-Exclusive License Agreement For Yeast-Based Delivery Vehicles Exhibit 10. |
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| August 16, 2012 |
- COLLABORATION AND OPTION AGREEMENT BETWEEN REGISTRANT AND CELGENE CORPORATION Collaboration and Option Agreement between Registrant and Celgene Corporation Exhibit 10. |
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| August 16, 2012 |
EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 10.5 EXECUTIVE EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between TIMOTHY C. RODELL (“Executive”) and GLOBEIMMUNE, INC. (the “Company”). This Agreement shall become effective only upon such date when the Company has a Registration Statement on Form S-1 Registration Statement declared effective (the “Effective Date”). If the Company does not hav |
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| August 16, 2012 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE Public Health Service Patent License Agreement - Exclusive (L-036-2012/0) Exhibit 10. |
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| August 16, 2012 |
Form of Registrant's Common Stock Certificate Exhibit 4.1 . 016570| 003590|127C|RESTRICTED||4|057-423 NNNNN COMMON STOCK COMMON STOCK PAR VALUE $0.001 THIS CERTIFICATE IS TRANSFERABLE IN CANTON, MA AND NEW YORK, NY Certificate Shares Number **000000****** ***000000***** ZQ 000000 [GRAPHIC APPEARS HERE] ****000000**** *****000000*** GLOBEIMMUNE, INC. ******000000** INCORPORATED UNDER THE LAWS OF TH |
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| August 16, 2012 |
- FORM OF EXECUTIVE EMPLOYMENT AGREEMENT Form of Executive Employment Agreement Exhibit 10.6 EXECUTIVE EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between [NAME] (“Executive”) and GLOBEIMMUNE, INC. (the “Company”). This Agreement shall become effective only upon such date when the Company has a Registration Statement on Form S-1 Registration Statement declared effective (the “Effective Date”). |
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| August 16, 2012 |
- PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT - EXCLUSIVE (L-121-2011/0) Public Health Service Patent License Agreement - Exclusive (L-121-2011/0) Exhibit 10. |
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| August 16, 2012 |
Amendment No. 2 to Form S-1 Table of Contents As filed with the Securities and Exchange Commission on August 16, 2012 Registration No. 333-182512 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GlobeImmune, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other |
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| August 16, 2012 |
LICENSE AND COLLABORATION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. GILEAD SCIENCES, INC. License and Collaboration Agreement Exhibit 10.9 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. EXECUTION COPY LICENSE AND COLLABORATION AGREEMENT BY AND BETWEEN GLOBEIMMUNE, INC. AND GILEAD SCIENCES, INC. [*] = Certain confidential |
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| August 16, 2012 |
GLOBEIMMUNE, INC. STOCK OPTION GRANT NOTICE (2012 EQUITY INCENTIVE PLAN) Form of Stock Option Grant Notice and Stock Option Agreement Exhibit 10.2.1 GLOBEIMMUNE, INC. STOCK OPTION GRANT NOTICE (2012 EQUITY INCENTIVE PLAN) GlobeImmune, Inc. (the “Company”), pursuant to its 2012 Equity Incentive Plan (the “Plan”), hereby grants to Optionholder an option to purchase the number of shares of the Company’s Common Stock set forth below. This option is subject to all of the te |
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| August 16, 2012 |
2012 Employee Stock Purchase Plan Exhibit 10.3 GLOBEIMMUNE, INC. 2012 EMPLOYEE STOCK PURCHASE PLAN ADOPTED BY THE BOARD OF DIRECTORS: AUGUST 7, 2012 APPROVED BY THE STOCKHOLDERS: AUGUST [—], 2012 1. GENERAL; PURPOSE. (a) The Plan provides a means by which Eligible Employees of the Company and certain designated Related Corporations may be given an opportunity to purchase shares of Common Stock. Th |
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| August 16, 2012 |
- PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT - EXCLUSIVE (L127-2007/0) Public Health Service Patent License Agreement - Exclusive (L127-2007/0) Exhibit 10. |
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| July 17, 2012 |
GLOBEIMMUNE, INC. INDEMNIFICATION AGREEMENT Form of Indemnification Agreement EXHIBIT 10.4 GLOBEIMMUNE, INC. INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into this , 20 by and between GLOBEIMMUNE, INC., a Delaware corporation (the “Corporation”), and (“Agent”). RECITALS A. Agent performs a valuable service to the Corporation in the capacity as a director, officer, employee or agent of the C |
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| July 17, 2012 |
GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT EX-10.10.3 5 d358280dex10103.htm STOCK PURCHASE AGREEMENT EXHIBIT 10.10.3 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED. GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the “Agreement”) is made as of the 8t |
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| July 17, 2012 |
Amendment #4 to the Collaboration and Option Agreement EXHIBIT 10.8.4 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED. October 24, 2011 Timothy C. Rodell, M.D. President and CEO GlobeImmune, Inc. 1450 Infinite Dr. Louisville CO 80027 |
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| July 17, 2012 |
Restated Certificate of Incorporation of Registrant EXHIBIT 3.1 State of Delaware Secretary of State Division of Corporations Delivered 02:39 PM 06/14/2012 FILED 2:39 PM 06/14/2012 SRV 120739722 – 3533580 FILE RESTATED CERTIFICATE OF INCORPORATION OF GLOBEIMMUNE, INC. (Pursuant to Section 245 of the General Corporation Law of the State of Delaware) GlobeImmune, Inc., a corporation organized and ex |
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| July 17, 2012 |
GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT Stock Purchase Agreement EXHIBIT 10.10.4 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED. GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the “Agreement”) is made effective October 15, 2003, by and between GL |
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| July 17, 2012 |
GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT Stock Purchase Agreement EXHIBIT 10.10.5 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED. GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the “Agreement”) is made as of the 7th day of September, 2004, by and |
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| July 17, 2012 |
AMENDMENT TO FORM S-1 Table of Contents As filed with the Securities and Exchange Commission on July 17, 2012 Registration No. |
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| July 17, 2012 |
GLOBEIMMUNE, INC. EMPLOYEE PROPRIETARY INFORMATION AND INVENTIONS AGREEMENT EXHIBIT 10.18 GLOBEIMMUNE, INC. EMPLOYEE PROPRIETARY INFORMATION AND INVENTIONS AGREEMENT In consideration of my employment or continued employment by GLOBEIMMUNE, INC. (the “Company”), and the compensation now and hereafter paid to me, I hereby agree as follows: 1. NONDISCLOSURE. 1.1 Recognition of Company’s Rights; Nondisclosure. At all times during my employment and thereafter, I will hold in s |
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| July 17, 2012 |
GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT EX-10.10.6 8 d358280dex10106.htm STOCK PURCHASE AGREEMENT EXHIBIT 10.10.6 [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED. GLOBEIMMUNE, INC. STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the “Agreement”) is made as of the 25 |
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| July 2, 2012 |
GLOBEIMMUNE, INC. WARRANT TO PURCHASE SERIES C CONVERTIBLE REDEEMABLE PREFERRED STOCK Warrant to purchase Series C Preferred Stock EXHIBIT 4.7 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO SUCH SECURITIES UNDER THE ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT SUCH |
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| July 2, 2012 |
- EXECUTIVE EMPLOYMENT AGREEMENT Executive Employment Agreement Exhibit 10.5 EXECUTIVE EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into effective (the “Effective Date”), by and between TIMOTHY C. RODELL (“Executive”) and GLOBEIMMUNE, INC. (the “Company”). The Company desires to continue to employ Executive and, in connection with such employment, to compensate Executive for Executive’s personal se |
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| July 2, 2012 |
GLOBEIMMUNE, INC. 2002 STOCK INCENTIVE PLAN NON-QUALIFIED STOCK OPTION AGREEMENT Form of Non-Qualified Stock Option Agreement under 2002 Stock Incentive Plan EXHIBIT 10. |
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| July 2, 2012 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT – EXCLUSIVE COVER PAGE Public Health Service Patent License Agreement Exhibit 10.13 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT – EXCLUSIVE COVER PAGE For PHS internal use only: License Number: L-127-2007/ |
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| July 2, 2012 |
Amended and Restated Bylaws of Registrant EXHIBIT 3.4 AMENDED AND RESTATED BYLAWS OF GLOBEIMMUNE, INC. (A DELAWARE CORPORATION) TABLE OF CONTENTS PAGE ARTICLE I OFFICES 1 Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II CORPORATE SEAL 1 Section 3. Corporate Seal 1 ARTICLE III STOCKHOLDERS’ MEETINGS 1 Section 4. Place of Meetings 1 Section 5. Annual Meeting 2 Section 6. Special |
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| July 2, 2012 |
Warrant to purchase Series B Preferred Stock EXHIBIT 4.6 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF ARTICLE 5 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER SAID |
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| July 2, 2012 |
Form of Warrants to purchase Series C Preferred Stock EXHIBIT 4.8 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO SUCH SECURITIES UNDER THE ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY T |
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| July 2, 2012 |
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE Exhibit 10.16 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT — EXCLUSIVE COVER PAGE For PHS internal use only: License Number: L-067-2012/0 License Application Number: A-077-2012 Serial |
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| July 2, 2012 |
Confidential Submission No. 1 submitted to the SEC on May 23, 2012 Table of Contents Brent D. Fassett T: +1 720 566 4025 [email protected] Exhibit 99.1 May 23, 2012 CONFIDENTIAL SUBMISSION VIA EMAIL TO [email protected] Confidential Submission Draft Registration Statement Pursuant to Title I, Section 106 under the U.S. Securities and Exchange Commission Jumpstart Our Business Startups |
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| July 2, 2012 |
Lease Amendment between Registrant and Triumph 1450 LLC EXHIBIT 10.7.1 LEASE AMENDMENT THIS LEASE AMENDMENT (“Amendment”), dated as of August 25, 2006, amends that certain lease agreement (“Lease”) dated October 25, 2005 between TRIUMPH 1450, LLC AND MRA DESERT VILLAS, LLC as tenants-in-common (successor-in-interest to Triumph 1450, LLC) (“Landlord”) and GLOBEIMMUNE, INC. (“Tenant”) covering premi |
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| July 2, 2012 |
- AMENDMENT (1) TO AGREEMENT AND RESTATED INTELLECTUAL PROPERTY LICENSE AGREEMENT Amendment (1) to Agreement and Restated Intellectual Property License Agreement Exhibit 10. |
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| July 2, 2012 |
GLOBEIMMUNE, INC. 2002 STOCK INCENTIVE PLAN INCENTIVE STOCK OPTION AGREEMENT(1) Form of Incentive Stock Option Agreement under 2002 Stock Incentive Plan EXHIBIT 10. |
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| July 2, 2012 |
- FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT Fifth Amended and Restated Stockholders Agreement Exhibit 4.9 GLOBEIMMUNE, INC. FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT THIS FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT (this “Agreement”) is entered into as of January 14, 2010 by and among GLOBEIMMUNE, INC., a Delaware corporation (the “Corporation”), those original stockholders of the Corporation listed on Schedule 1 hereto (herei |
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| July 2, 2012 |
Warrant to purchase Common Stock EXHIBIT 4.2 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO SUCH SECURITIES UNDER THE ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION |
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| July 2, 2012 |
- AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT Amendment #3 to the Collaboration and Option Agreement Exhibit 10.8.3 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT THIS AMENDMENT #3 TO THE COLLABORATION AND OPTION AGREEMENT |
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| July 2, 2012 |
Amendment # 1 to the Collaboration and Option Agreement Amendment #1 to the Collaboration and Option Agreement Exhibit 10.8.1 Amendment # 1 to the Collaboration and Option Agreement This is an Amendment (“Amendment”) to the Collaboration and Option Agreement dated May 14th 2009 (the “Agreement) by and between Celgene Corporation, a Delaware corporation having a place of business at 86 Morris Avenue, Summit, New Jersey 07901 (“Celgene”), and GlobeImmune |
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| July 2, 2012 |
GLOBEIMMUNE, INC. STOCK OPTION GRANT NOTICE (2012 EQUITY INCENTIVE PLAN) Form of Stock Option Grant Notice and Stock Option Agreement Exhibit 10.2.1 GLOBEIMMUNE, INC. STOCK OPTION GRANT NOTICE (2012 EQUITY INCENTIVE PLAN) GlobeImmune, Inc. (the “Company”), pursuant to its 2012 Equity Incentive Plan (the “Plan”), hereby grants to Optionholder an option to purchase the number of shares of the Company’s Common Stock set forth below. This option is subject to all of the te |
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| July 2, 2012 |
Amendment No.1 to CRADA #2264 Exhibit 10.12.1 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. CONFIDENTIAL GlobeImmune, Inc.-NCI CRADA #02264 Amendment # 1 Cooperative Research and Development Agreement # 2264 “Preclinical and Clinic |
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| July 2, 2012 |
Form of 2002 Stock Incentive Plan EXHIBIT 10.1 GLOBEIMMUNE, INC. 2002 STOCK INCENTIVE PLAN Termination Date: December 31, 2012 TABLE OF CONTENTS Page 1. PURPOSE 1 2. DEFINITIONS 1 3. ADMINISTRATION OF THE PLAN 4 3.1 Board 4 3.2 Committee 5 3.3 Grants 5 3.4 Deferral Arrangement 6 3.5 No Liability 6 4. STOCK SUBJECT TO THE PLAN 6 5. GRANT ELIGIBILITY 7 5.1 Employees and Other Service Providers 7 5.2 |
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| July 2, 2012 |
Registration Statement - FORM S-1 Form S-1 Table of Contents As filed with the Securities and Exchange Commission on July 2, 2012 Registration No. |
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| July 2, 2012 |
Second Amendment to Public Health Service Patent License Agreement Exhibit 10.13.2 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. PUBLIC HEALTH SERVICE SECOND AMENDMENT TO PATENT LICENSE AGREEMENT — EXCLUSIVE (LICENSE NUMBER: L-127- |
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| July 2, 2012 |
- WARRANT TO PURCHASE SERIES B PREFERRED STOCK Warrant to purchase Series B Preferred Stock EXHIBIT 4.5 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF ARTICLE 5 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER SAID |
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| July 2, 2012 |
- FORM OF WARRANTS TO PURCHASE SERIES B PREFERRED STOCK Form of Warrants to purchase Series B Preferred Stock EXHIBIT 4.4 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO SUCH SECURITIES UNDER THE ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY T |
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| July 2, 2012 |
- FORM OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF REGISTRANT Form of Amended and Restated Certificate of Incorporation of Registrant EXHIBIT 3. |
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| July 2, 2012 |
- AMENDMENT #2 TO THE COLLABORATION AND OPTION AGREEMENT Amendment #2 to the Collaboration and Option Agreement Exhibit 10.8.2 Amendment # 2 to the Collaboration and Option Agreement This is a Second Amendment (“Amendment #2”) to the Collaboration and Option Agreement dated May 14th 2009 (the “Agreement) by and between Celgene Corporation, a Delaware Corporation having a place of business at 86 Morris Avenue, Summit, New Jersey 07901 (“Celgene”), and Gl |
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| July 2, 2012 |
- LEASE BETWEEN REGISTRANT AND TRIUMPH 1450 LLC Lease between Registrant and Triumph 1450 LLC EXHIBIT 10.7 LEASE THIS LEASE (“Lease”), dated as of OCTOBER 25, 2005, is made by and between TRIUMPH 1450 LLC, a Colorado limited liability company (“Landlord”), and GLOBEIMMUNE, INC., a Delaware corporation (“Tenant”) (collectively, the “Parties,” and individually, a “Party”). RECITALS A. Maxtor Realty Corporation, a Delaware corporation (“Maxtor Rea |
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| July 2, 2012 |
- 2012 EMPLOYEE STOCK PURCHASE PLAN 2012 Employee Stock Purchase Plan Exhibit 10.3 GLOBEIMMUNE, INC. 2012 EMPLOYEE STOCK PURCHASE PLAN ADOPTED BY THE BOARD OF DIRECTORS: [—], 2012 APPROVED BY THE STOCKHOLDERS: [—], 2012 1. GENERAL; PURPOSE. (a) The Plan provides a means by which Eligible Employees of the Company and certain designated Related Corporations may be given an opportunity to purchase shares of Common Stock. The Plan permi |
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| July 2, 2012 |
- AGREEMENT BY AND BETWEEN REGISTRANT AND THE UNIVERSITY OF COLORADO Agreement by and between Registrant and the University of Colorado Exhibit 10.10 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. AGREEMENT Effective as of May 30, 2006, THE REGENTS OF THE UNIVERSITY OF COLORADO, a body corporate, hav |
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| July 2, 2012 |
EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 10.6 EXECUTIVE EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into effective [DATE] (the “Effective Date”), by and between [NAME] (“Executive”) and GLOBEIMMUNE, INC. (the “Company”). The Company desires to continue to employ Executive and, in connection with such employment, to compensate Executive for Executive’s personal services to the Company; and Executiv |
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| July 2, 2012 |
- COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT (CRADA #2264) Cooperative Research and Development Agreement (CRADA #2264) Exhibit 10.12 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. PUBLIC HEALTH SERVICE COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT FOR INTRAMURAL-PHS CLINICAL RESEARCH This |
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| July 2, 2012 |
Amendment to the Field-Of-Use Non-Exclusive License Agreement Exhibit 10.11.1 [*] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. Execution Version Amendment to the Field-Of-Use Non-Exclusive License Agreement for Yeast-Based Delivery Ve |
