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Filing Details

Accession Number:
0001209191-18-051838
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-09-20 19:02:00
Reporting Period:
2018-09-18
Accepted Time:
2018-09-20 19:02:00
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1510487 Principia Biopharma Inc. PRNB () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1202793 Michael Powell Sofinnova Ventures
3000 Sand Hill Road, 4-250
Menlo Park CA 94025
No No Yes No
1245624 James Healy Sofinnova Ventures
3000 Sand Hill Road, 4-250
Menlo Park CA 94025
No No Yes No
1524064 Sofinnova Venture Partners Viii, L.p. Sofinnova Ventures
3000 Sand Hill Road, 4-250
Menlo Park CA 94025
No No Yes No
1559565 Sofinnova Management Viii, L.l.c. Sofinnova Ventures
3000 Sand Hill Road, 4-250
Menlo Park CA 94025
No No Yes No
1590102 Anand Mehra Sofinnova Ventures
3000 Sand Hill Road, 4-250
Menlo Park CA 94025
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 2018-09-18 625,482 $0.00 625,482 No 4 C Direct
Common Stock Acquisiton 2018-09-18 521,235 $0.00 1,146,717 No 4 C Direct
Common Stock Acquisiton 2018-09-18 453,954 $0.00 1,600,671 No 4 C Direct
Common Stock Acquisiton 2018-09-18 167,537 $0.00 1,768,208 No 4 C Direct
Common Stock Acquisiton 2018-09-18 270,000 $17.00 2,038,208 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Direct
No 4 C Direct
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B-1 Preferred Stock Disposition 2018-09-18 625,482 $0.00 625,482 $0.00
Common Stock Series B-2 Preferred Stock Disposition 2018-09-18 521,235 $0.00 521,235 $0.00
Common Stock Series B-3 Preferred Stock Disposition 2018-09-18 453,954 $0.00 453,954 $0.00
Common Stock Series C 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 Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
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 20,938 20,938 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-12-29 20,938 20,938 Direct
Footnotes
  1. Each share of the Series B-1 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock.
  2. The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein.
  3. Each share of the Series B-2 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock.
  4. Each share of the Series B-3 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock.
  5. Each share of the Series C Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock.
  6. This warrant has converted from a warrant to purchase Series B-3 Convertible Preferred Stock into a warrant to purchase Common Stock.
  7. This warrant is exercisable at any time.