SEC Form 4 · accession 0001209191-18-051828

Principia Biopharma Inc. · PRNB

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

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Sep 18, 2018

Accepted (ET)

Sep 20, 2018 · 6:45 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^F1,F2	Sep 18, 2018	C	988	—	A	6,492	I	See footnote
Common Stock^F1,F2	Sep 18, 2018	C	240	—	A	6,732	I	See footnote
Common Stock^F1,F3	Sep 18, 2018	C	988	—	A	6,492	I	See footnote
Common Stock^F1,F3	Sep 18, 2018	C	240	—	A	6,732	I	See footnote
Common Stock^F1,F4	Sep 18, 2018	C	988	—	A	6,492	I	See footnote
Common Stock^F1,F4	Sep 18, 2018	C	240	—	A	6,732	I	See footnote
Common Stock^F5	holding	—	—		—	79,179	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B-3 Preferred Stock^F1,F2	—	Sep 18, 2018	C	988	D	—	—	Common Stock	988	0	I
Series B-3 Preferred Stock^F1,F3	—	Sep 18, 2018	C	988	D	—	—	Common Stock	988	0	I
Series B-3 Preferred Stock^F1,F4	—	Sep 18, 2018	C	988	D	—	—	Common Stock	988	0	I
Series C Preferred Stock^F1,F2	—	Sep 18, 2018	C	240	D	—	—	Common Stock	240	0	I
Series C Preferred Stock^F1,F3	—	Sep 18, 2018	C	240	D	—	—	Common Stock	240	0	I
Series C Preferred Stock^F1,F4	—	Sep 18, 2018	C	240	D	—	—	Common Stock	240	0	I
Warrant (Right to Buy)^F2,F6,F7,F1	—	holding	—	—	—	—	Dec 29, 2022	Common Stock	85	85	I
Warrant (Right to Buy)^F3,F6,F7,F1	—	holding	—	—	—	—	Dec 29, 2022	Common Stock	85	85	I
Warrant (Right to Buy)^F4,F6,F7,F1	—	holding	—	—	—	—	Dec 29, 2022	Common Stock	85	85	I

F1Each share of Preferred Stock automatically converted into one (1) share of Common Stock, for no additional consideration, upon the consummation of the Issuer's initial public offering.
F2Shares indirectly held by Martin Babler, as Custodian for Angelina Veronique Babler-Kuebler, under California Uniform Transfer to Minor Act, of which the Reporting Person is a custodian and may be deemed to share voting and dispositive power over these shares.
F3Shares indirectly held by Martin Babler, as Custodian for Justin Alexander Babler-Kuebler, under California Uniform Transfer to Minor Act, of which the Reporting Person is a custodian and may be deemed to share voting and dispositive power over these shares.
F4Shares indirectly held by Martin Babler, as Custodian for Natalie Flurina Babler-Kuebler, under California Uniform Transfer to Minor Act, of which the Reporting Person is a cusstodian and may be deemed to share voting and dispositive power over these shares.
F5Shares indirectly held by Babler Trust Agreement Dated October 25, 2006, of which the Reporting Person is a trustee and may be deemed to share voting and dispositive power over these shares.
F6This warrant has converted from a warrant to purchase Series B-3 Preferred Stock into a warrant to purchase Common Stock.
F7This warrant is exercisable at any time.