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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 Insider Title 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
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
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
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Reported Derivative Holdings
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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. This warrant is exercisable at any time.