Sofinnova Venture Partners VIII, L.P. 4

4 · Principia Biopharma Inc. · Filed Sep 20, 2018

Form 4

Period: 2018-09-18

10% Owner

Transactions

Conversion
Common Stock
[F1][F2]
2018-09-18+625,482→ 625,482 total
Conversion
Common Stock
[F3][F2]
2018-09-18+521,235→ 1,146,717 total
Conversion
Common Stock
[F4][F2]
2018-09-18+453,954→ 1,600,671 total
Conversion
Common Stock
[F5][F2]
2018-09-18+167,537→ 1,768,208 total
Purchase
Common Stock
[F2]
2018-09-18$17.00/sh+270,000$4,590,000→ 2,038,208 total
Conversion
Series B-1 Preferred Stock
[F1][F2]
2018-09-18−625,482→ 0 total
→ Common Stock (625,482 underlying)
Conversion
Series B-2 Preferred Stock
[F3][F2]
2018-09-18−521,235→ 0 total
→ Common Stock (521,235 underlying)
Conversion
Series B-3 Preferred Stock
[F4][F2]
2018-09-18−453,954→ 0 total
→ Common Stock (453,954 underlying)
Conversion
Series C Preferred Stock
[F5][F2]
2018-09-18−167,537→ 0 total
→ Common Stock (167,537 underlying)

Holdings

Warrant (Right to Buy)
[F6][F7][F4][F2]
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