3//SEC Filing
Sofinnova Venture Partners VIII, L.P. 3
Accession 0001209191-18-050897
CIK 0001510487other
Filed
Sep 12, 8:00 PM ET
Accepted
Sep 13, 5:10 PM ET
Size
16.7 KB
Accession
0001209191-18-050897
Insider Transaction Report
Form 3
HEALY JAMES
10% Owner
Holdings
Series C Preferred Stock
→ Common Stock (167,537 underlying)Series B-2 Preferred Stock
→ Common Stock (521,235 underlying)Series B-3 Preferred Stock
→ Common Stock (453,954 underlying)Series B-1 Preferred Stock
→ Common Stock (625,482 underlying)Warrant to Purchase Series B-3 Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Preferred Stock (20,938 underlying)
Mehra Anand
10% Owner
Holdings
Series B-2 Preferred Stock
→ Common Stock (521,235 underlying)Warrant to Purchase Series B-3 Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Preferred Stock (20,938 underlying)Series B-1 Preferred Stock
→ Common Stock (625,482 underlying)Series B-3 Preferred Stock
→ Common Stock (453,954 underlying)Series C Preferred Stock
→ Common Stock (167,537 underlying)
POWELL MICHAEL
10% Owner
Holdings
Series B-2 Preferred Stock
→ Common Stock (521,235 underlying)Series C Preferred Stock
→ Common Stock (167,537 underlying)Series B-1 Preferred Stock
→ Common Stock (625,482 underlying)Series B-3 Preferred Stock
→ Common Stock (453,954 underlying)Warrant to Purchase Series B-3 Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Preferred Stock (20,938 underlying)
Holdings
Series B-1 Preferred Stock
→ Common Stock (625,482 underlying)Series B-2 Preferred Stock
→ Common Stock (521,235 underlying)Warrant to Purchase Series B-3 Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Preferred Stock (20,938 underlying)Series B-3 Preferred Stock
→ Common Stock (453,954 underlying)Series C Preferred Stock
→ Common Stock (167,537 underlying)
Sofinnova Management VIII, L.L.C.
10% Owner
Holdings
Warrant to Purchase Series B-3 Preferred Stock
Exercise: $8.99Exp: 2022-12-29→ Series B-3 Preferred Stock (20,938 underlying)Series B-2 Preferred Stock
→ Common Stock (521,235 underlying)Series C Preferred Stock
→ Common Stock (167,537 underlying)Series B-3 Preferred Stock
→ Common Stock (453,954 underlying)Series B-1 Preferred Stock
→ Common Stock (625,482 underlying)
Footnotes (6)
- [F1]Each share of the Series B-1 Preferred Stock is convertible, at any time, at the holder's election, into 1 share of the Issuer's common stock. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series B-1 Preferred Stock will automatically convert into 1 share of the Issuer's common stock. The Series B-1 Preferred Stock has no expiration date.
- [F2]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.
- [F3]Each share of the Series B-2 Preferred Stock is convertible, at any time, at the holder's election, into 1 share of the Issuer's common stock. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series B-2 Preferred Stock will automatically convert into 1 share of the Issuer's common stock. The Series B-2 Preferred Stock has no expiration date.
- [F4]Each share of the Series B-3 Preferred Stock is convertible, at any time, at the holder's election, into 1 share of the Issuer's common stock. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series B-3 Preferred Stock will automatically convert into 1 share of the Issuer's common stock. The Series B-3 Preferred Stock has no expiration date.
- [F5]Each share of the Series C Preferred Stock is convertible, at any time, at the holder's election, into 1 share of the Issuer's common stock. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series C Preferred Stock will automatically convert into 1 share of the Issuer's common stock. The Series C Preferred Stock has no expiration date.
- [F6]This warrant is exercisable at any time.
Documents
Issuer
Principia Biopharma Inc.
CIK 0001510487
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001524064
Filing Metadata
- Form type
- 3
- Filed
- Sep 12, 8:00 PM ET
- Accepted
- Sep 13, 5:10 PM ET
- Size
- 16.7 KB