SEC Form 3 · accession 0001209191-18-050887

Principia Biopharma Inc. · PRNB

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

Reporting owner

Roy C. Hardiman

Officer — Chief Business Officer

Period of report

Sep 13, 2018

Accepted (ET)

Sep 13, 2018 · 5:05 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	holding	—	—		—	117,202	D
Common Stock^F1	holding	—	—		—	1,376	I	See footnote

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F2	$4.7236	holding	—	—	—	—	Feb 25, 2025	Common Stock	13,629	—	D
Employee Stock Option (right to buy)^F3	$4.9961	holding	—	—	—	—	Jul 20, 2025	Common Stock	4,128	—	D
Employee Stock Option (right to buy)^F4	$7.2671	holding	—	—	—	—	Dec 13, 2027	Common Stock	13,761	—	D
Employee Stock Option (right to buy)^F5	$11.3549	holding	—	—	—	—	Aug 23, 2028	Common Stock	44,034	—	D

Explanation of responses

F1Shares indirectly held by Roy Hardiman, as Custodian for Riley James Hardiman, Under California Uniform Transfers to Minors Act, of which the Reporting Person is a custodian and may be deemed to share voting and dispositive power over these shares.
F2The stock option vested and became exercisable as to 25% of the shares subject to the option on January 5, 2016, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
F3The stock option vested and became exercisable as to 25% of the shares subject to the option on July 21, 2016, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
F4The stock option will vest and become exercisable as to 25% of the shares subject to the option on December 14, 2018, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
F5The stock option will vest and become exercisable as to 25% of the shares subject to the option on August 23, 2019, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.