SEC Form 3 · accession 0001209191-18-050907

Principia Biopharma Inc. · PRNB

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

Reporting owner

Director

Period of report

Sep 13, 2018

Accepted (ET)

Sep 13, 2018 · 5:14 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	—	—		—	3,945	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Preferred Stock^F2,F3,F1	—	holding	—	—	—	—	—	Common Stock	1,070,771	—	I
Series B-1 Preferred Stock^F2,F3,F1	—	holding	—	—	—	—	—	Common Stock	312,741	—	I
Series B-2 Preferred Stock^F2,F3,F1	—	holding	—	—	—	—	—	Common Stock	260,617	—	I
Series B-3 Preferred Stock^F2,F3,F1	—	holding	—	—	—	—	—	Common Stock	544,047	—	I
Series C Preferred Stock^F2,F3,F1	—	holding	—	—	—	—	—	Common Stock	167,537	—	I
Warrant to Purchase Series B-3 Preferred Stock^F2,F3,F4,F1	$8.9931	holding	—	—	—	—	Dec 29, 2022	Series B-3 Preferred Stock	28,623	—	I

F1Each share of the issuer's Preferred Stock will automatically convert into 1 share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering and has no expiration date.
F2These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors") is the managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is an employee of Advisors.
F3Each GP IV, Advisors and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
F4This warrant is exercisable at any time.