CHAI CHRISTOPHER Y 4

Accession 0001209191-20-052224

CIK 0001510487other

Filed

Sep 27, 8:00 PM ET

Accepted

Sep 28, 5:11 PM ET

Size

25.6 KB

Accession

0001209191-20-052224

Form 4

Period: 2020-09-28

Chief Financial Officer

Transactions

Disposition to Issuer
Employee Stock Option (right to buy)
2020-09-28−24,769→ 0 total
Exercise: $3.18Exp: 2024-06-26→ Common Stock (24,769 underlying)
Disposition from Tender
Common Stock
2020-09-28$100.00/sh−3,799$379,900→ 0 total
Disposition to Issuer
Employee Stock Option (right to buy)
2020-09-28−55,000→ 0 total
Exercise: $67.31Exp: 2030-03-04→ Common Stock (55,000 underlying)
Disposition to Issuer
Employee Stock Option (right to buy)
2020-09-28−34,677→ 0 total
Exercise: $7.27Exp: 2027-12-13→ Common Stock (34,677 underlying)
Disposition from Tender
Common Stock
2020-09-28$100.00/sh−3,302$330,200→ 0 total(indirect: See footnote)
Disposition to Issuer
Employee Stock Option (right to buy)
2020-09-28−56,982→ 0 total
Exercise: $3.00Exp: 2023-12-11→ Common Stock (56,982 underlying)
Disposition to Issuer
Employee Stock Option (right to buy)
2020-09-28−44,034→ 0 total
Exercise: $11.35Exp: 2028-08-23→ Common Stock (44,034 underlying)
Disposition to Issuer
Employee Stock Option (right to buy)
2020-09-28−60,000→ 0 total
Exercise: $35.42Exp: 2029-02-28→ Common Stock (60,000 underlying)
Disposition to Issuer
Employee Stock Option (right to buy)
2020-09-28−29,723→ 0 total
Exercise: $4.72Exp: 2024-12-25→ Common Stock (29,723 underlying)
Disposition to Issuer
Employee Stock Option (right to buy)
2020-09-28−13,210→ 0 total
Exercise: $5.00Exp: 2025-07-20→ Common Stock (13,210 underlying)

Footnotes (4)

[F1]Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $100.00 per share in cash, without interest and subject to any applicable withholding taxes.
[F2]Includes 260 shares acquired under the Employment Stock Purchase Plan on September 25, 2020.
[F3]Shares indirectly held by Christopher Chai, as a fiduciary for his children, of which the Reporting Person may be deemed to share voting and dispositive power over these shares.
[F4]Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

Documents

1 file

Principia Biopharma Inc.

CIK 0001510487

Entity typeother