Home/Filings/4/0001209191-18-051838

4//SEC Filing

Sofinnova Venture Partners VIII, L.P. 4

Accession 0001209191-18-051838

CIK 0001510487other

View on SEC.gov Company Profile

Filed

Sep 19, 8:00 PM ET

Accepted

Sep 20, 7:02 PM ET

Size

28.7 KB

Accession

0001209191-18-051838

Insider Transaction Report

Form 4

Period: 2018-09-18

Principia Biopharma Inc.PRNB

Mehra Anand

10% Owner

Transactions

Conversion
Common Stock
2018-09-18+453,954→ 1,600,671 total
Conversion
Common Stock
2018-09-18+167,537→ 1,768,208 total
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 2,038,208 total
Conversion
Series B-2 Preferred Stock
2018-09-18−521,235→ 0 total
→ Common Stock (521,235 underlying)
Conversion
Common Stock
2018-09-18+625,482→ 625,482 total
Conversion
Common Stock
2018-09-18+521,235→ 1,146,717 total
Conversion
Series B-1 Preferred Stock
2018-09-18−625,482→ 0 total
→ Common Stock (625,482 underlying)
Conversion
Series B-3 Preferred Stock
2018-09-18−453,954→ 0 total
→ Common Stock (453,954 underlying)
Conversion
Series C Preferred Stock
2018-09-18−167,537→ 0 total
→ Common Stock (167,537 underlying)

Holdings

Warrant (Right to Buy)
Exp: 2022-12-29→ Common Stock (20,938 underlying)
20,938

HEALY JAMES

10% Owner

Transactions

Conversion
Series B-3 Preferred Stock
2018-09-18−453,954→ 0 total
→ Common Stock (453,954 underlying)
Conversion
Common Stock
2018-09-18+625,482→ 625,482 total
Conversion
Common Stock
2018-09-18+521,235→ 1,146,717 total
Conversion
Common Stock
2018-09-18+453,954→ 1,600,671 total
Conversion
Common Stock
2018-09-18+167,537→ 1,768,208 total
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 2,038,208 total
Conversion
Series B-1 Preferred Stock
2018-09-18−625,482→ 0 total
→ Common Stock (625,482 underlying)
Conversion
Series B-2 Preferred Stock
2018-09-18−521,235→ 0 total
→ Common Stock (521,235 underlying)
Conversion
Series C Preferred Stock
2018-09-18−167,537→ 0 total
→ Common Stock (167,537 underlying)

Holdings

Warrant (Right to Buy)
Exp: 2022-12-29→ Common Stock (20,938 underlying)
20,938

POWELL MICHAEL

10% Owner

Transactions

Conversion
Series B-1 Preferred Stock
2018-09-18−625,482→ 0 total
→ Common Stock (625,482 underlying)
Conversion
Common Stock
2018-09-18+453,954→ 1,600,671 total
Conversion
Common Stock
2018-09-18+167,537→ 1,768,208 total
Conversion
Series B-3 Preferred Stock
2018-09-18−453,954→ 0 total
→ Common Stock (453,954 underlying)
Conversion
Series C Preferred Stock
2018-09-18−167,537→ 0 total
→ Common Stock (167,537 underlying)
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 2,038,208 total
Conversion
Series B-2 Preferred Stock
2018-09-18−521,235→ 0 total
→ Common Stock (521,235 underlying)
Conversion
Common Stock
2018-09-18+625,482→ 625,482 total
Conversion
Common Stock
2018-09-18+521,235→ 1,146,717 total

Holdings

Warrant (Right to Buy)
Exp: 2022-12-29→ Common Stock (20,938 underlying)
20,938

Sofinnova Management VIII, L.L.C.

10% Owner

Transactions

Conversion
Common Stock
2018-09-18+453,954→ 1,600,671 total
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 2,038,208 total
Conversion
Series B-3 Preferred Stock
2018-09-18−453,954→ 0 total
→ Common Stock (453,954 underlying)
Conversion
Series C Preferred Stock
2018-09-18−167,537→ 0 total
→ Common Stock (167,537 underlying)
Conversion
Series B-2 Preferred Stock
2018-09-18−521,235→ 0 total
→ Common Stock (521,235 underlying)
Conversion
Common Stock
2018-09-18+521,235→ 1,146,717 total
Conversion
Series B-1 Preferred Stock
2018-09-18−625,482→ 0 total
→ Common Stock (625,482 underlying)
Conversion
Common Stock
2018-09-18+625,482→ 625,482 total
Conversion
Common Stock
2018-09-18+167,537→ 1,768,208 total

Holdings

Warrant (Right to Buy)
Exp: 2022-12-29→ Common Stock (20,938 underlying)
20,938

Sofinnova Venture Partners VIII, L.P.

10% Owner

Transactions

Conversion
Common Stock
2018-09-18+625,482→ 625,482 total
Conversion
Common Stock
2018-09-18+167,537→ 1,768,208 total
Conversion
Series B-2 Preferred Stock
2018-09-18−521,235→ 0 total
→ Common Stock (521,235 underlying)
Conversion
Series B-1 Preferred Stock
2018-09-18−625,482→ 0 total
→ Common Stock (625,482 underlying)
Conversion
Series B-3 Preferred Stock
2018-09-18−453,954→ 0 total
→ Common Stock (453,954 underlying)
Conversion
Common Stock
2018-09-18+453,954→ 1,600,671 total
Purchase
Common Stock
2018-09-18$17.00/sh+270,000$4,590,000→ 2,038,208 total
Conversion
Series C Preferred Stock
2018-09-18−167,537→ 0 total
→ Common Stock (167,537 underlying)
Conversion
Common Stock
2018-09-18+521,235→ 1,146,717 total

Holdings

Warrant (Right to Buy)
Exp: 2022-12-29→ Common Stock (20,938 underlying)
20,938

Footnotes (7)

[F1]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.
[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 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.
[F4]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.
[F5]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.
[F6]This warrant has converted from a warrant to purchase Series B-3 Convertible Preferred Stock into a warrant to purchase Common Stock.
[F7]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 0001524064

Filing Metadata

Form type: 4
Filed: Sep 19, 8:00 PM ET
Accepted: Sep 20, 7:02 PM ET
Size: 28.7 KB

View on SEC.gov