New Leaf Ventures II, L.P. 3
Accession 0001209191-18-050894
Filed
Sep 12, 8:00 PM ET
Accepted
Sep 13, 5:08 PM ET
Size
23.1 KB
Accession
0001209191-18-050894
Insider Transaction Report
- (indirect: See footnote)
Series A Convertible Preferred Stock
Exercise: $0.00→ Common Stock (1,070,771 underlying) - (indirect: See footnote)
Warrant to Purchase Series B-3 Convertible Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Convertible Preferred Stock (28,623 underlying) - (indirect: See footnote)
Series C Convertible Preferred Stock
Exercise: $0.00→ Common Stock (167,537 underlying) - (indirect: See footnote)
Series B-1 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (312,741 underlying) - (indirect: See footnote)
Series B-2 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (260,617 underlying) - (indirect: See footnote)
Series B-3 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (544,047 underlying)
- (indirect: See footnote)
Series B-3 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (544,047 underlying) - (indirect: See footnote)
Series C Convertible Preferred Stock
Exercise: $0.00→ Common Stock (167,537 underlying) - (indirect: See footnote)
Series A Convertible Preferred Stock
Exercise: $0.00→ Common Stock (1,070,771 underlying) - (indirect: See footnote)
Series B-1 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (312,741 underlying) - (indirect: See footnote)
Warrant to Purchase Series B-3 Convertible Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Convertible Preferred Stock (28,623 underlying) - (indirect: See footnote)
Series B-2 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (260,617 underlying)
- (indirect: See footnote)
Series B-1 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (312,741 underlying) - (indirect: See footnote)
Series B-2 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (260,617 underlying) - (indirect: See footnote)
Series C Convertible Preferred Stock
Exercise: $0.00→ Common Stock (167,537 underlying) - (indirect: See footnote)
Warrant to Purchase Series B-3 Convertible Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Convertible Preferred Stock (28,623 underlying) - (indirect: See footnote)
Series A Convertible Preferred Stock
Exercise: $0.00→ Common Stock (1,070,771 underlying) - (indirect: See footnote)
Series B-3 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (544,047 underlying)
- (indirect: See footnote)
Series B-2 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (260,617 underlying) - (indirect: See footnote)
Series A Convertible Preferred Stock
Exercise: $0.00→ Common Stock (1,070,771 underlying) - (indirect: See footnote)
Series B-1 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (312,741 underlying) - (indirect: See footnote)
Series B-3 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (544,047 underlying) - (indirect: See footnote)
Series C Convertible Preferred Stock
Exercise: $0.00→ Common Stock (167,537 underlying) - (indirect: See footnote)
Warrant to Purchase Series B-3 Convertible Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Convertible Preferred Stock (28,623 underlying)
- (indirect: See footnote)
Series C Convertible Preferred Stock
Exercise: $0.00→ Common Stock (167,537 underlying) - (indirect: See footnote)
Warrant to Purchase Series B-3 Convertible Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Convertible Preferred Stock (28,623 underlying) - (indirect: See footnote)
Series A Convertible Preferred Stock
Exercise: $0.00→ Common Stock (1,070,771 underlying) - (indirect: See footnote)
Series B-1 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (312,741 underlying) - (indirect: See footnote)
Series B-2 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (260,617 underlying) - (indirect: See footnote)
Series B-3 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (544,047 underlying)
- (indirect: See footnote)
Series B-2 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (260,617 underlying) - (indirect: See footnote)
Series B-1 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (312,741 underlying) - (indirect: See footnote)
Series A Convertible Preferred Stock
Exercise: $0.00→ Common Stock (1,070,771 underlying) - (indirect: See footnote)
Series B-3 Convertible Preferred Stock
Exercise: $0.00→ Common Stock (544,047 underlying) - (indirect: See footnote)
Series C Convertible Preferred Stock
Exercise: $0.00→ Common Stock (167,537 underlying) - (indirect: See footnote)
Warrant to Purchase Series B-3 Convertible Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Convertible Preferred Stock (28,623 underlying)
Footnotes (7)
- [F1]All series of convertible preferred stock will automatically convert into the number of shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering and have no expiration date.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]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 (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.
- [F6]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.
- [F7]This warrant is exercisable at any time.
Documents
Issuer
Principia Biopharma Inc.
CIK 0001510487
Related Parties
1- filerCIK 0001441439
Filing Metadata
- Form type
- 3
- Filed
- Sep 12, 8:00 PM ET
- Accepted
- Sep 13, 5:08 PM ET
- Size
- 23.1 KB