SEC Form 4 · accession 0000903423-18-000516

Principia Biopharma Inc. · PRNB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Sep 18, 2018

Accepted (ET)

Sep 20, 2018 · 5:18 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001510487

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2,F3	Sep 18, 2018	C	1,070,771	—	A	1,070,771	I	See Footnote
Common Stock^F2,F3	Sep 18, 2018	C	312,741	—	A	1,383,512	I	See Footnote
Common Stock^F2,F3	Sep 18, 2018	C	260,617	—	A	1,644,129	I	See Footnote
Common Stock^F2,F3	Sep 18, 2018	C	544,047	—	A	2,188,176	I	See Footnote
Common Stock^F2,F3	Sep 18, 2018	C	167,537	—	A	2,355,713	I	See Footnote
Common Stock^F1,F3	Sep 18, 2018	P	270,000	$17.00	A	2,625,713	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Preferred Stock^F3,F2	—	Sep 18, 2018	C	9,726,783	D	—	—	Common Stock	1,070,771	I
Series B-1 Preferred Stock^F3,F2	—	Sep 18, 2018	C	2,840,909	D	—	—	Common Stock	312,741	I
Series B-2 Preferred Stock^F3,F2	—	Sep 18, 2018	C	2,367,424	D	—	—	Common Stock	260,617	I
Series B-3 Preferred Stock^F3,F2	—	Sep 18, 2018	C	4,942,070	D	—	—	Common Stock	544,047	I
Series C Preferred Stock^F3,F2	—	Sep 18, 2018	C	1,521,895	D	—	—	Common Stock	167,537	I

F1S.R. One, Limited acquired 270,000 Common Stock of the Issuer in connection with the Issuer's initial public offering.
F2The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
F3The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").