Home/Filings/4/0001209191-18-051834

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New Leaf Ventures II, L.P. 4

Accession 0001209191-18-051834

CIK 0001510487other

View on SEC.gov Company Profile

Filed

Sep 19, 8:00 PM ET

Accepted

Sep 20, 6:53 PM ET

Size

40.0 KB

Accession

0001209191-18-051834

Insider Transaction Report

Form 4

Period: 2018-09-18

Principia Biopharma Inc.PRNB

New Leaf Venture Associates II, L.P.

10% Owner

Transactions

Conversion
Series B-2 Convertible Preferred Stock
2018-09-18−260,617→ 0 total(indirect: See footnote)
→ Common Stock (260,617 underlying)
Conversion
Common Stock
2018-09-18+1,070,771→ 1,070,771 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+312,741→ 1,383,512 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+260,617→ 1,644,129 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+544,047→ 2,188,176 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+167,537→ 167,537 total(indirect: See footnote)
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 437,537 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2018-09-18−1,070,771→ 0 total(indirect: See footnote)
→ Common Stock (1,070,771 underlying)
Conversion
Series B-1 Convertible Preferred Stock
2018-09-18−312,741→ 0 total(indirect: See footnote)
→ Common Stock (312,741 underlying)
Conversion
Series B-3 Convertible Preferred Stock
2018-09-18−544,047→ 0 total(indirect: See footnote)
→ Common Stock (544,047 underlying)
Conversion
Series C Convertible Preferred Stock
2018-09-18−167,537→ 0 total(indirect: See footnote)
→ Common Stock (167,537 underlying)

Holdings

Warrant (Right to Buy)
(indirect: See footnote)
Exp: 2022-12-29→ Common Stock (28,623 underlying)
28,623

New Leaf Venture Management II, L.L.C.

10% Owner

Transactions

Conversion
Common Stock
2018-09-18+312,741→ 1,383,512 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+260,617→ 1,644,129 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+544,047→ 2,188,176 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+167,537→ 167,537 total(indirect: See footnote)
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 437,537 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2018-09-18−1,070,771→ 0 total(indirect: See footnote)
→ Common Stock (1,070,771 underlying)
Conversion
Series B-2 Convertible Preferred Stock
2018-09-18−260,617→ 0 total(indirect: See footnote)
→ Common Stock (260,617 underlying)
Conversion
Series C Convertible Preferred Stock
2018-09-18−167,537→ 0 total(indirect: See footnote)
→ Common Stock (167,537 underlying)
Conversion
Common Stock
2018-09-18+1,070,771→ 1,070,771 total(indirect: See footnote)
Conversion
Series B-1 Convertible Preferred Stock
2018-09-18−312,741→ 0 total(indirect: See footnote)
→ Common Stock (312,741 underlying)
Conversion
Series B-3 Convertible Preferred Stock
2018-09-18−544,047→ 0 total(indirect: See footnote)
→ Common Stock (544,047 underlying)

Holdings

Warrant (Right to Buy)
(indirect: See footnote)
Exp: 2022-12-29→ Common Stock (28,623 underlying)
28,623

New Leaf BPO Associates II, L.P.

10% Owner

Transactions

Conversion
Series B-1 Convertible Preferred Stock
2018-09-18−312,741→ 0 total(indirect: See footnote)
→ Common Stock (312,741 underlying)
Conversion
Series B-3 Convertible Preferred Stock
2018-09-18−544,047→ 0 total(indirect: See footnote)
→ Common Stock (544,047 underlying)
Conversion
Common Stock
2018-09-18+1,070,771→ 1,070,771 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+312,741→ 1,383,512 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+260,617→ 1,644,129 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+544,047→ 2,188,176 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+167,537→ 167,537 total(indirect: See footnote)
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 437,537 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2018-09-18−1,070,771→ 0 total(indirect: See footnote)
→ Common Stock (1,070,771 underlying)
Conversion
Series B-2 Convertible Preferred Stock
2018-09-18−260,617→ 0 total(indirect: See footnote)
→ Common Stock (260,617 underlying)
Conversion
Series C Convertible Preferred Stock
2018-09-18−167,537→ 0 total(indirect: See footnote)
→ Common Stock (167,537 underlying)

Holdings

Warrant (Right to Buy)
(indirect: See footnote)
Exp: 2022-12-29→ Common Stock (28,623 underlying)
28,623

New Leaf BPO Management II, L.L.C

10% Owner

Transactions

Conversion
Common Stock
2018-09-18+312,741→ 1,383,512 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+1,070,771→ 1,070,771 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+260,617→ 1,644,129 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+544,047→ 2,188,176 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+167,537→ 167,537 total(indirect: See footnote)
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 437,537 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2018-09-18−1,070,771→ 0 total(indirect: See footnote)
→ Common Stock (1,070,771 underlying)
Conversion
Series B-1 Convertible Preferred Stock
2018-09-18−312,741→ 0 total(indirect: See footnote)
→ Common Stock (312,741 underlying)
Conversion
Series B-2 Convertible Preferred Stock
2018-09-18−260,617→ 0 total(indirect: See footnote)
→ Common Stock (260,617 underlying)
Conversion
Series B-3 Convertible Preferred Stock
2018-09-18−544,047→ 0 total(indirect: See footnote)
→ Common Stock (544,047 underlying)
Conversion
Series C Convertible Preferred Stock
2018-09-18−167,537→ 0 total(indirect: See footnote)
→ Common Stock (167,537 underlying)

Holdings

Warrant (Right to Buy)
(indirect: See footnote)
Exp: 2022-12-29→ Common Stock (28,623 underlying)
28,623

New Leaf Ventures II, L.P.

10% Owner

Transactions

Conversion
Common Stock
2018-09-18+1,070,771→ 1,070,771 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+260,617→ 1,644,129 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+167,537→ 167,537 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2018-09-18−1,070,771→ 0 total(indirect: See footnote)
→ Common Stock (1,070,771 underlying)
Conversion
Series B-1 Convertible Preferred Stock
2018-09-18−312,741→ 0 total(indirect: See footnote)
→ Common Stock (312,741 underlying)
Conversion
Common Stock
2018-09-18+312,741→ 1,383,512 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+544,047→ 2,188,176 total(indirect: See footnote)
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 437,537 total(indirect: See footnote)
Conversion
Series B-2 Convertible Preferred Stock
2018-09-18−260,617→ 0 total(indirect: See footnote)
→ Common Stock (260,617 underlying)
Conversion
Series B-3 Convertible Preferred Stock
2018-09-18−544,047→ 0 total(indirect: See footnote)
→ Common Stock (544,047 underlying)
Conversion
Series C Convertible Preferred Stock
2018-09-18−167,537→ 0 total(indirect: See footnote)
→ Common Stock (167,537 underlying)

Holdings

Warrant (Right to Buy)
(indirect: See footnote)
Exp: 2022-12-29→ Common Stock (28,623 underlying)
28,623

New Leaf Biopharma Opportunities II, L.P.

10% Owner

Transactions

Conversion
Common Stock
2018-09-18+1,070,771→ 1,070,771 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+312,741→ 1,383,512 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+260,617→ 1,644,129 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+544,047→ 2,188,176 total(indirect: See footnote)
Conversion
Common Stock
2018-09-18+167,537→ 167,537 total(indirect: See footnote)
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 437,537 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2018-09-18−1,070,771→ 0 total(indirect: See footnote)
→ Common Stock (1,070,771 underlying)
Conversion
Series B-1 Convertible Preferred Stock
2018-09-18−312,741→ 0 total(indirect: See footnote)
→ Common Stock (312,741 underlying)
Conversion
Series B-2 Convertible Preferred Stock
2018-09-18−260,617→ 0 total(indirect: See footnote)
→ Common Stock (260,617 underlying)
Conversion
Series B-3 Convertible Preferred Stock
2018-09-18−544,047→ 0 total(indirect: See footnote)
→ Common Stock (544,047 underlying)
Conversion
Series C Convertible Preferred Stock
2018-09-18−167,537→ 0 total(indirect: See footnote)
→ Common Stock (167,537 underlying)

Holdings

Warrant (Right to Buy)
(indirect: See footnote)
Exp: 2022-12-29→ Common Stock (28,623 underlying)
28,623

Footnotes (8)

[F1]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.
[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, 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.
[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 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.
[F8]This warrant is exercisable at any time.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Principia Biopharma Inc.

CIK 0001510487

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001441439

Filing Metadata

Form type: 4
Filed: Sep 19, 8:00 PM ET
Accepted: Sep 20, 6:53 PM ET
Size: 40.0 KB

View on SEC.gov