Filing Details

Accession Number:
0001209191-21-056246
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-09-15 18:58:09
Reporting Period:
2021-09-13
Accepted Time:
2021-09-15 18:58:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1661460 Poseida Therapeutics Inc. PSTX Biological Products, (No Disgnostic Substances) (2836) 472846548
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1765987 Eric Ostertag C/O Poseida Therapeutics, Inc.
9390 Towne Centre Drive, Ste 200
San Diego CA 92121
Chief Executive Officer Yes Yes 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 2021-09-13 2,757 $1.17 656,891 No 4 M Direct
Common Stock Acquisiton 2021-09-13 18,524 $9.15 675,415 No 4 M Direct
Common Stock Disposition 2021-09-14 20,000 $8.14 180,696 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Disposition 2021-09-13 2,757 $0.00 2,757 $1.17
Common Stock Employee Stock Option (Right to Buy) Disposition 2021-09-13 18,524 $0.00 18,524 $9.15
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2026-02-28 No 4 M Direct
759,520 2031-02-03 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,679,826 Indirect See footnote
Common Stock 3,377,085 Indirect See footnote
Common Stock 629,194 Indirect See footnote
Common Stock 961,445 Indirect See footnote
Footnotes
  1. The sales reported in this Form 4 were effected by Transposagen Biopharmaceuticals, Inc. ("Transposagen") pursuant to a Rule 10b5-1 trading plan established independently of Dr. Ostertag and in connection with a planned dissolution of Transposagen. Dr. Ostertag reports beneficial ownership of the shares held by Transposagen as a result of his affiliation with that entity.
  2. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.32 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within therange set forth in this footnote.
  3. The shares are held in the name of Transposagen Biopharmaceuticals, Inc., of which Dr. Ostertag is a majority stockholder.
  4. The shares are held in the name of the Eric Ostertag Living Trust dated March 30, 2016, of which the reporting person is the sole trustee.
  5. The shares are held in the name of Titan, LLC, which is owned by the Ostertag Descendents' Trust, of which the reporting person's minor daughter is the sole beneficiary. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
  6. The shares are held in the name of Twin Prime Investments, an entity wholly owned by the reporting person.
  7. The shares are held in the name of the Ostertag Family Trust dated March 30, 2016, of which the reporting person is a trustee.
  8. The stock option is fully vested and exercisable.
  9. 12.5% of the shares originally subject to the stock option vested and became exercisable on the August 4, 2021, and the remaining shares vest in 42 equal monthly installments thereafter.