Home > Insider Trading > Filing (0001209191-18-051834)

Filing Details

Accession Number:: 0001209191-18-051834
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-09-20 18:53:03
Reporting Period:: 2018-09-18

Accepted Time:: 2018-09-20 18:53:03
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1510487	Principia Biopharma Inc.	PRNB	()	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1441439	New Leaf Ventures Ii, L.p.	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	Yes	No
1441857	New Leaf Venture Management Ii, L.l.c.	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	Yes	No
1441858	New Leaf Venture Associates Ii, L.p.	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	Yes	No
1735293	New Leaf Biopharma Opportunities Ii, L.p.	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	Yes	No
1740755	New Leaf Bpo Management Ii, L.l.c	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	Yes	No
1740783	New Leaf Bpo Associates Ii, L.p.	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-09-18	1,070,771	$0.00	1,070,771	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2018-09-18	312,741	$0.00	1,383,512	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2018-09-18	260,617	$0.00	1,644,129	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2018-09-18	544,047	$0.00	2,188,176	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2018-09-18	167,537	$0.00	167,537	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2018-09-18	270,000	$17.00	437,537	No	4	P	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	P	Indirect	See footnote

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Convertible Preferred Stock	Disposition	2018-09-18	1,070,771	$0.00	1,070,771	$0.00
Common Stock	Series B-1 Convertible Preferred Stock	Disposition	2018-09-18	312,741	$0.00	312,741	$0.00
Common Stock	Series B-2 Convertible Preferred Stock	Disposition	2018-09-18	260,617	$0.00	260,617	$0.00
Common Stock	Series B-3 Convertible Preferred Stock	Disposition	2018-09-18	544,047	$0.00	544,047	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2018-09-18	167,537	$0.00	167,537	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Reported Derivative Holdings

Show Other Fields >>

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Warrant (Right to Buy)	$0.00		2022-12-29	28,623	28,623	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2022-12-29	28,623	28,623	Indirect

Footnotes

All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering.
These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities.
Each of the NLV-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), and Becker may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities.
Each of the BPO-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
This warrant converted from a warrant to purchase Series B-3 Convertible Preferred Stock into a warrant to purchase Common Stock upon the closing of the Issuer's initial public offering.
This warrant is exercisable at any time.