Brady Stephen R

SEC source: 0001415889-25-000807 · form4-01062025_050116.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Common Stock · 550,000 shares

Expires 2035-01-01

F1 · derivative.exercise_date: These stock options vest in a series of 48 equal monthly installments measured from January 2, 2025, subject to the Reporting Person's continued service.

SEC source: 0001415889-24-019339 · form4-07082024_040701.xml · nonDerivative · entry 1

Brady Stephen R · CIK 0001606241 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,376

F1 · balance_after: Includes 11,376 shares acquired under the Issuer's stock purchase plan.

SEC source: 0001209191-24-001040 · doc4.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2034-01-02

F1 · derivative.exercise_date: These stock options vest in a series of 48 equal monthly installments measured from January 3, 2024, subject to the Reporting Person's continued service.

SEC source: 0001209191-23-052783 · doc4.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 725,000

Underlying: Common Stock · 725,000 shares

Expires 2033-10-10

F1 · derivative.exercise_date: 25% of the award shall vest on October 11, 2024 and the remainder of the award shall vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous service through each vesting date.

SEC source: 0001209191-23-037517 · doc4.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Class A Common Stock · 12,000 shares

Expires 2023-06-12

F1 · derivative.exercise_date: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control.

SEC source: 0001209191-23-002144 · doc4.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,300

Underlying: Common Stock · 177,300 shares

Expires 2033-01-02

F1 · derivative.exercise_date: These stock options vest in a series of 48 equal monthly installments measured from January 3, 2023, subject to the reporting person's continued service.

SEC source: 0001179110-22-003398 · edgar.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,533

Underlying: Common Stock · 173,533 shares

Expires 2032-06-20

F1 · derivative.exercise_date: Vests over four (4) years, with one-fourth (1/4) of the award vesting on the first anniversary of the date of grant and the remainder of the award vesting in equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date.

SEC source: 0001209191-22-036107 · doc4.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Class A Common Stock · 12,000 shares

Expires 2032-06-07

F1 · derivative.exercise_date: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control.

SEC source: 0001209191-22-002247 · doc4.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,500

Underlying: Common Stock · 94,500 shares

Expires 2032-01-03

F1 · derivative.exercise_date: These stock options vest in a series of 48 equal monthly installments measured from January 4, 2022, subject to the reporting person's continued service.

SEC source: 0001209191-21-047021 · doc4.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Class A Common Stock · 24,000 shares

Expires 2031-07-13

F1 · derivative.exercise_date: 1/3 of the Option vests in equal annual installments as measured from 7/14/2021.

SEC source: 0001140361-21-022783 · form4.xml · derivative · entry 4

Brady Stephen R · CIK 0001606241 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,982,250

Underlying: Common Stock · 1,982,250 shares

Expires 2031-04-28

F1 · price: In connection with the merger of Millendo Therapeutics, Inc. ("Millendo") and private company Tempest Therapeutics, Inc. ("Tempest"), pursuant to the Agreement and Plan of Merger dated March 29, 2021 (the "Merger Agreement"), which closed on June 25, 2021 ("Closing"), (i) each share of Tempest's common stock converted into the right to receive approximately 0.0322 shares of Millendo common stock (the "Exchange Ratio"), and (ii) each outstanding and unexercised option to purchase shares of Tempest common stock converted into an option to purchase shares of Millendo's common stock, with necessary adjustments to reflect the Exchange Ratio but otherwise the same terms and conditions. The Exchange Ratio gives effect to the 15-to-1 reverse stock split of Millendo's common stock. On the Closing date, the closing price of Millendo common stock was $1.06 (unadjusted). Upon Closing, Millendo was renamed "Tempest Therapeutics, Inc."

F6 · derivative.exercise_date: These stock options vest in a series of 48 equal monthly installments measured from the vesting commencement date of Closing, June 25, 2021, subject to the reporting person's continued service.

SEC source: 0001140361-21-022783 · form4.xml · derivative · entry 3

Brady Stephen R · CIK 0001606241 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,050

Underlying: Common Stock · 8,050 shares

Expires 2031-03-09

F1 · price: In connection with the merger of Millendo Therapeutics, Inc. ("Millendo") and private company Tempest Therapeutics, Inc. ("Tempest"), pursuant to the Agreement and Plan of Merger dated March 29, 2021 (the "Merger Agreement"), which closed on June 25, 2021 ("Closing"), (i) each share of Tempest's common stock converted into the right to receive approximately 0.0322 shares of Millendo common stock (the "Exchange Ratio"), and (ii) each outstanding and unexercised option to purchase shares of Tempest common stock converted into an option to purchase shares of Millendo's common stock, with necessary adjustments to reflect the Exchange Ratio but otherwise the same terms and conditions. The Exchange Ratio gives effect to the 15-to-1 reverse stock split of Millendo's common stock. On the Closing date, the closing price of Millendo common stock was $1.06 (unadjusted). Upon Closing, Millendo was renamed "Tempest Therapeutics, Inc."

F5 · derivative.exercise_date: These stock options vest in a series of 48 equal monthly installments measured from the vesting commencement date of March 5, 2021, subject to the reporting person's continued service. Notwithstanding the foregoing, if, within three months prior to or 12 months following a change in control, the Issuer terminates the reporting person's employment without cause or the reporting person resigns for good reasons, then the vesting of all of the shares subject to this option will be immediately accelerated such that all shares subject to the option will be deemed fully vested and exercisable as of the reporting person's last day of employment, provided that the reporting person satisfies certain severance conditions.

SEC source: 0001140361-21-022783 · form4.xml · derivative · entry 2

Brady Stephen R · CIK 0001606241 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,256

Underlying: Common Stock · 70,256 shares

Expires 2030-03-29

F1 · price: In connection with the merger of Millendo Therapeutics, Inc. ("Millendo") and private company Tempest Therapeutics, Inc. ("Tempest"), pursuant to the Agreement and Plan of Merger dated March 29, 2021 (the "Merger Agreement"), which closed on June 25, 2021 ("Closing"), (i) each share of Tempest's common stock converted into the right to receive approximately 0.0322 shares of Millendo common stock (the "Exchange Ratio"), and (ii) each outstanding and unexercised option to purchase shares of Tempest common stock converted into an option to purchase shares of Millendo's common stock, with necessary adjustments to reflect the Exchange Ratio but otherwise the same terms and conditions. The Exchange Ratio gives effect to the 15-to-1 reverse stock split of Millendo's common stock. On the Closing date, the closing price of Millendo common stock was $1.06 (unadjusted). Upon Closing, Millendo was renamed "Tempest Therapeutics, Inc."

F4 · derivative.exercise_date: These stock options vest in a series of 48 equal monthly installments measured from the vesting commencement date of February 20, 2020, subject to the reporting person's continued service. Notwithstanding the foregoing, if, within three months prior to or 12 months following a change in control, the Issuer terminates the reporting person's employment without cause or the reporting person resigns for good reasons, then the vesting of all of the shares subject to this option will be immediately accelerated such that all shares subject to the option will be deemed fully vested and exercisable as of the reporting person's last day of employment, provided that the reporting person satisfies certain severance conditions.

SEC source: 0001140361-21-022783 · form4.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,432

Underlying: Common Stock · 110,432 shares

Expires 2029-09-15

F1 · price: In connection with the merger of Millendo Therapeutics, Inc. ("Millendo") and private company Tempest Therapeutics, Inc. ("Tempest"), pursuant to the Agreement and Plan of Merger dated March 29, 2021 (the "Merger Agreement"), which closed on June 25, 2021 ("Closing"), (i) each share of Tempest's common stock converted into the right to receive approximately 0.0322 shares of Millendo common stock (the "Exchange Ratio"), and (ii) each outstanding and unexercised option to purchase shares of Tempest common stock converted into an option to purchase shares of Millendo's common stock, with necessary adjustments to reflect the Exchange Ratio but otherwise the same terms and conditions. The Exchange Ratio gives effect to the 15-to-1 reverse stock split of Millendo's common stock. On the Closing date, the closing price of Millendo common stock was $1.06 (unadjusted). Upon Closing, Millendo was renamed "Tempest Therapeutics, Inc."

F2 · derivative.exercise_date: One-fourth of the shares underlying this option vested on September 9, 2020, and the remaining shares vest in a series of 36 equal monthly installments thereafter, subject to the reporting person's continued service. Notwithstanding the foregoing, 100% of the unvested shares subject to this option vest immediately on the earliest of (i) the date that is 12 months following a change in control of the Issuer, (ii) the date the Issuer terminates the reporting person's status as a service provider upon or following the closing of the change in control for any reason other than cause or the reporting person's death or disability, in each case within the period beginning three months before and ending 12 months after the closing of the change in control, and (iii) the date the reporting person terminates his status as a service provider for good reason within the period beginning three months before and ending 12 months after the closing of the change in control (the "Brady Double-Trigger").

F3 · derivative.exercise_date: If the successor corporation in a change in control does not assume the Brady Double-Trigger obligation, 100% of the unvested shares subject to this option will vest immediately prior to such change in control.

SEC source: 0001209191-19-023687 · doc4.xml · derivative · entry 6

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 120,000 shares

Expires not disclosed

F4 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share.

F3 · derivative.expiration_date: Not Applicable.

SEC source: 0001209191-19-023687 · doc4.xml · derivative · entry 5

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 184,364 shares

Expires not disclosed

F4 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share.

F3 · derivative.expiration_date: Not Applicable.

SEC source: 0001209191-19-023687 · doc4.xml · derivative · entry 4

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F4 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share.

F3 · derivative.expiration_date: Not Applicable.

SEC source: 0001209191-19-023687 · doc4.xml · derivative · entry 3

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 116,819 shares

Expires not disclosed

F4 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share.

F3 · derivative.expiration_date: Not Applicable.

SEC source: 0001209191-19-023687 · doc4.xml · derivative · entry 2

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 79,536 shares

Expires not disclosed

F2 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these unvested restricted stock units vested automatically in accordance with their terms and were cancelled and automatically converted into the right to receive the Merger Consideration in respect of each share of Issuer common stock underlying such awards.

F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these unvested restricted stock units vested automatically in accordance with their terms and were cancelled and automatically converted into the right to receive the Merger Consideration in respect of each share of Issuer common stock underlying such awards.

F3 · derivative.expiration_date: Not Applicable.

SEC source: 0001209191-19-023687 · doc4.xml · nonDerivative · entry 1

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated February 20, 2019, by and among the Immune Design Corp. (the "Issuer"), Merck Sharp & Dohme Corp., a New Jersey corporation ("Parent") and Cascade Merger Sub Inc., a Delaware corporation ("Purchaser"), on April 2, 2019, Purchaser merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent. In connection with the Merger, the Issuer's common stock were cancelled and converted into the right to receive $5.85 in cash per share, less any required withholding, subject to the terms and conditions of the Merger Agreement ("Merger Consideration").

SEC source: 0001209191-19-002668 · doc4.xml · nonDerivative · entry 2

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,599

F3 · kind: The shares were sold pursuant to a Rule 10b5-1 trading plan that was included in the Reporting Person's restricted stock unit agreements, dated January 4, 2016, January 4, 2017 and January 4, 2018, in order to satisfy a tax liability incurred upon the vesting of restricted stock units on January 4, 2019.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.53 to $1.62 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001209191-19-002668 · doc4.xml · derivative · entry 3

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2029-01-03

F5 · derivative.exercise_date: One quarter of the shares underlying the option will vest on January 3, 2020, and the remainder of the shares underlying the option will vest at a rate of 1/24th per month thereafter, subject to the Reporting Person's continuous service through each such date.

SEC source: 0001209191-19-002668 · doc4.xml · nonDerivative · entry 1

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,115

F1 · security: Each restricted stock unit represents a contingent right to receive one share of Immune Design Corp. common stock.

F2 · shares: Restricted stock unit shall vest in a series of three equal consecutive annual installments beginning on January 4, 2020, subject to the Reporting Person's continuous service through each such date.

SEC source: 0001209191-18-057942 · doc4.xml · nonDerivative · entry 1

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,115

F1 · security: Each restricted stock unit represents a contingent right to receive one share of Immune Design Corp. common stock.

F2 · shares: Restricted stock units shall vest in a single installment on November 7, 2019, subject to the Reporting Person's continuous service through such date.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 18

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,190

Underlying: Common Stock · 47,190 shares

Expires 2025-07-17

F16 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 70,784 shares of the issuer's common stock granted to the reporting person on January 4, 2017. In exchange, the reporting person received a replacement option, for 47,190 shares, having an exercise price of $4.40 per share.

F15 · derivative.exercise_date: The option vests in thirty six (36) equal consecutive monthly installments beginning on August 17, 2018.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 17

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 70,784 shares

Expires 2027-01-04

F16 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 70,784 shares of the issuer's common stock granted to the reporting person on January 4, 2017. In exchange, the reporting person received a replacement option, for 47,190 shares, having an exercise price of $4.40 per share.

F13 · derivative.exercise_date: The option provided for vesting of 1/4th of the shares underlying the option on January 4, 2018 and the remainder of the shares at a rate of 1/36th per month thereafter.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 16

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,478

Underlying: Common Stock · 9,478 shares

Expires 2025-07-17

F14 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 14,216 shares of the issuer's common stock granted to the reporting person on January 4, 2017. In exchange, the reporting person received a replacement option, for 9,478 shares, having an exercise price of $4.40 per share.

F15 · derivative.exercise_date: The option vests in thirty six (36) equal consecutive monthly installments beginning on August 17, 2018.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 15

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,216 shares

Expires 2027-01-04

F14 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 14,216 shares of the issuer's common stock granted to the reporting person on January 4, 2017. In exchange, the reporting person received a replacement option, for 9,478 shares, having an exercise price of $4.40 per share.

F13 · derivative.exercise_date: The option provided for vesting of 1/4th of the shares underlying the option on January 4, 2018 and the remainder of the shares at a rate of 1/36th per month thereafter.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 14

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,970

Underlying: Common Stock · 39,970 shares

Expires 2025-07-17

F12 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 69,946 shares of the issuer's common stock granted to the reporting person on January 4, 2016. In exchange, the reporting person received a replacement option, for 39,970 shares, having an exercise price of $4.40 per share.

F3 · derivative.exercise_date: The option vests in twenty four (24) equal consecutive monthly installments beginning on August 17, 2018.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 13

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 69,946 shares

Expires 2026-01-04

F12 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 69,946 shares of the issuer's common stock granted to the reporting person on January 4, 2016. In exchange, the reporting person received a replacement option, for 39,970 shares, having an exercise price of $4.40 per share.

F10 · derivative.exercise_date: The option provided for vesting of 1/4th of the shares underlying the option on January 4, 2017 and the remainder of the shares underlying the option at a rate of 1/36th per month thereafter.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 12

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,888

Underlying: Common Stock · 2,888 shares

Expires 2025-07-17

F11 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 5,054 shares of the issuer's common stock granted to the reporting person on January 4, 2016. In exchange, the reporting person received a replacement option, for 2,888 shares, having an exercise price of $4.40 per share.

F3 · derivative.exercise_date: The option vests in twenty four (24) equal consecutive monthly installments beginning on August 17, 2018.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 11

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,054 shares

Expires 2026-01-04

F11 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 5,054 shares of the issuer's common stock granted to the reporting person on January 4, 2016. In exchange, the reporting person received a replacement option, for 2,888 shares, having an exercise price of $4.40 per share.

F10 · derivative.exercise_date: The option provided for vesting of 1/4th of the shares underlying the option on January 4, 2017 and the remainder of the shares underlying the option at a rate of 1/36th per month thereafter.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 10

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Common Stock · 33,334 shares

Expires 2025-07-17

F9 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 50,000 shares of the issuer's common stock granted to the reporting person on October 30, 2015. In exchange, the reporting person received a replacement option, for 33,334 shares, having an exercise price of $4.40 per share.

F3 · derivative.exercise_date: The option vests in twenty four (24) equal consecutive monthly installments beginning on August 17, 2018.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 9

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2025-10-30

F9 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 50,000 shares of the issuer's common stock granted to the reporting person on October 30, 2015. In exchange, the reporting person received a replacement option, for 33,334 shares, having an exercise price of $4.40 per share.

F8 · derivative.exercise_date: The option provided for vesting of 37.5% of the option on each of October 30, 2016 and 2017 with the remainder of the shares underlying the option on October 30, 2018.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 8

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,581

Underlying: Common Stock · 23,581 shares

Expires 2025-07-17

F7 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 47,162 shares of the issuer's common stock granted to the reporting person on January 7, 2015. In exchange, the reporting person received a replacement option, for 23,581 shares, having an exercise price of $4.40 per share.

F3 · derivative.exercise_date: The option vests in twenty four (24) equal consecutive monthly installments beginning on August 17, 2018.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 7

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 47,162 shares

Expires 2025-01-07

F7 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 47,162 shares of the issuer's common stock granted to the reporting person on January 7, 2015. In exchange, the reporting person received a replacement option, for 23,581 shares, having an exercise price of $4.40 per share.

F5 · derivative.exercise_date: The option provided for vesting of 1/4th of the shares underlying the option on January 1, 2016 and the remainder of the shares at a rate of 1/36th per month thereafter.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 6

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,419

Underlying: Common Stock · 1,419 shares

Expires 2025-07-17

F6 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 2,838 shares of the issuer's common stock granted to the reporting person on January 7, 2015. In exchange, the reporting person received a replacement option, for 1,419 shares, having an exercise price of $4.40 per share.

F3 · derivative.exercise_date: The option vests in twenty four (24) equal consecutive monthly installments beginning on August 17, 2018.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 5

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,838 shares

Expires 2025-01-07

F6 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 2,838 shares of the issuer's common stock granted to the reporting person on January 7, 2015. In exchange, the reporting person received a replacement option, for 1,419 shares, having an exercise price of $4.40 per share.

F5 · derivative.exercise_date: The option provided for vesting of 1/4th of the shares underlying the option on January 1, 2016 and the remainder of the shares at a rate of 1/36th per month thereafter.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 4

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,154

Underlying: Common Stock · 8,154 shares

Expires 2025-07-17

F4 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 12,230 shares of the issuer's common stock granted to the reporting person on June 23, 2014. In exchange, the reporting person received a replacement option, for 8,154 shares, having an exercise price of $4.40 per share.

F3 · derivative.exercise_date: The option vests in twenty four (24) equal consecutive monthly installments beginning on August 17, 2018.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 3

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,230 shares

Expires 2024-06-23

F4 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 12,230 shares of the issuer's common stock granted to the reporting person on June 23, 2014. In exchange, the reporting person received a replacement option, for 8,154 shares, having an exercise price of $4.40 per share.

F1 · derivative.exercise_date: The option provided for vesting of 1/4th of the shares underlying the option on June 23, 2015 and the remainder of the shares at a rate of 1/36th per month thereafter.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 2

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,350

Underlying: Common Stock · 18,350 shares

Expires 2025-07-17

F2 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 27,525 shares of the issuer's common stock granted to the reporting person on June 23, 2014. In exchange, the reporting person received a replacement option, for 18,350 shares, having an exercise price of $4.40 per share.

F3 · derivative.exercise_date: The option vests in twenty four (24) equal consecutive monthly installments beginning on August 17, 2018.

SEC source: 0001209191-18-043397 · doc4.xml · derivative · entry 1

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,525 shares

Expires 2024-06-23

F2 · price: On July 17, 2018, the issuer canceled, pursuant to the issuer's option exchange program, an option for 27,525 shares of the issuer's common stock granted to the reporting person on June 23, 2014. In exchange, the reporting person received a replacement option, for 18,350 shares, having an exercise price of $4.40 per share.

F1 · derivative.exercise_date: The option provided for vesting of 1/4th of the shares underlying the option on June 23, 2015 and the remainder of the shares at a rate of 1/36th per month thereafter.

SEC source: 0001209191-18-002808 · doc4.xml · nonDerivative · entry 2

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,162

F3 · kind: The shares were sold pursuant to a Rule 10b5-1 trading plan that was included in the Reporting Person's restricted stock unit agreements, dated January 4, 2016 and January 4, 2017, in order to satisfy a tax liability incurred upon the vesting of restricted stock units on January 4, 2018.

F3 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan that was included in the Reporting Person's restricted stock unit agreements, dated January 4, 2016 and January 4, 2017, in order to satisfy a tax liability incurred upon the vesting of restricted stock units on January 4, 2018.

SEC source: 0001209191-18-002808 · doc4.xml · derivative · entry 3

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-01-04

F4 · derivative.exercise_date: One quarter of the shares underlying the option will vest on January 4, 2019, and the remainder of the shares underlying the option will vest at a rate of 1/24th per month thereafter, subject to the Reporting Person's continuous service through each such date.

SEC source: 0001209191-18-002808 · doc4.xml · nonDerivative · entry 1

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,490

F1 · security: Each restricted stock unit represents a contingent right to receive one share of Immune Design Corp. common stock.

F2 · shares: Restricted stock units shall vest in a series of three equal consecutive annual installments beginning on January 4, 2019, subject to the Reporting Person's continuous service through each such date.

SEC source: 0001209191-17-002796 · doc4.xml · derivative · entry 3

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2027-01-04

F5 · derivative.exercise_date: One quarter of the shares underlying the option will vest on January 4, 2018, and the remainder of the shares underlying the option will vest at a rate of 1/36th per month thereafter, subject to the Reporting Person's continuous service through each such date.

SEC source: 0001209191-17-002796 · doc4.xml · nonDerivative · entry 2

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,490

F3 · kind: The shares were sold pursuant to a Rule 10b5-1 trading plan that was included in the Reporting Person's restricted stock unit agreement, dated January 4, 2016, in order to satisfy a tax liability incurred upon the vesting of restricted stock units on January 4, 2017.

F3 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan that was included in the Reporting Person's restricted stock unit agreement, dated January 4, 2016, in order to satisfy a tax liability incurred upon the vesting of restricted stock units on January 4, 2017.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.25 to $5.42 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001209191-17-002796 · doc4.xml · nonDerivative · entry 1

Brady Stephen R · CIK 0001606241 · EVP, Strategy & Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,132

F1 · security: Each restricted stock unit represents a contingent right to receive one share of Immune Design Corp. common stock.

F2 · shares: One quarter of the total restricted stock units vest annually beginning January 4, 2018, subject to the Reporting Person's continuous service through each such date.