SEC Form 4 · accession 0001209191-18-051831
Principia Biopharma Inc. · PRNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steve Gourlay
Officer — Chief Medical Officer
Period of report
Sep 18, 2018
Accepted (ET)
Sep 20, 2018 · 6:47 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 StockF1 | Sep 18, 2018 | C | 7,269 | — | A | 107,857 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B-3 Preferred StockF1 | — | Sep 18, 2018 | C | 7,269 | D | — | — | Common Stock | 7,269 | 0 | D |
| Warrant (Right to Buy)F2,F3,F1 | — | holding | — | — | — | — | Dec 29, 2022 | Common Stock | 625 | 625 | D |
Explanation of responses
- 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.
- F2This warrant has converted from a warrant to purchase Series B-3 Preferred Stock into a warrant to purchase Common Stock.
- F3This warrant is exercisable at any time.