SEC Form 3 · accession 0001209191-18-050889

Principia Biopharma Inc. · PRNB

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

Reporting owner

David Goldstein

Officer — Chief Scientific Officer

Period of report

Sep 13, 2018

Accepted (ET)

Sep 13, 2018 · 5:06 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	—	—		—	28,027	D

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)^F1	$0.6359	holding	—	—	—	—	Feb 13, 2022	Common Stock	1,126	—	D
Employee Stock Option (right to buy)^F1	$1.9076	holding	—	—	—	—	Jul 2, 2022	Common Stock	6,147	—	D
Employee Stock Option (right to buy)^F1	$1.9076	holding	—	—	—	—	Apr 17, 2023	Common Stock	1,651	—	D
Employee Stock Option (right to buy)^F1	$2.9977	holding	—	—	—	—	Oct 23, 2023	Common Stock	15,522	—	D
Employee Stock Option (right to buy)^F1	$3.1794	holding	—	—	—	—	Jun 26, 2024	Common Stock	16,513	—	D
Employee Stock Option (right to buy)^F2	$4.7236	holding	—	—	—	—	Dec 25, 2024	Common Stock	13,210	—	D
Employee Stock Option (right to buy)^F3	$4.7236	holding	—	—	—	—	Dec 25, 2024	Common Stock	8,807	—	D
Employee Stock Option (right to buy)^F4	$4.9961	holding	—	—	—	—	Jul 20, 2025	Common Stock	15,412	—	D
Employee Stock Option (right to buy)^F5	$4.9961	holding	—	—	—	—	Mar 14, 2026	Common Stock	22,017	—	D
Employee Stock Option (right to buy)^F6	$7.2671	holding	—	—	—	—	Dec 13, 2017	Common Stock	34,677	—	D
Employee Stock Option (right to buy)^F7	$11.3549	holding	—	—	—	—	Aug 23, 2028	Common Stock	44,034	—	D

Explanation of responses

F1The stock option is fully vested and immediately exercisable.
F2The stock option vested and became exercisable as to 25% of the shares subject to the option on October 1, 2015, 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 November 11, 2015, 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 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.
F5The stock option vested and became exercisable as to 25% of the shares subject to the option on February 15, 2017, 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.
F6The 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.
F7The 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.