Filing Details
- Accession Number:
- 0000903423-18-000516
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-20 17:18:27
- Reporting Period:
- 2018-09-18
- Accepted Time:
- 2018-09-20 17:18:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1510487 | Principia Biopharma Inc. | PRNB | Pharmaceutical Preparations (2834) | X0 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1131399 | Plc Glaxosmithkline | 980 Great West Road Brentford Middlesex X0 TW8 9GS | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-09-18 | 1,070,771 | $0.00 | 1,070,771 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2018-09-18 | 312,741 | $0.00 | 1,383,512 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2018-09-18 | 260,617 | $0.00 | 1,644,129 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2018-09-18 | 544,047 | $0.00 | 2,188,176 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2018-09-18 | 167,537 | $0.00 | 2,355,713 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2018-09-18 | 270,000 | $17.00 | 2,625,713 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2018-09-18 | 9,726,783 | $0.00 | 1,070,771 | $0.00 |
| Common Stock | Series B-1 Preferred Stock | Disposition | 2018-09-18 | 2,840,909 | $0.00 | 312,741 | $0.00 |
| Common Stock | Series B-2 Preferred Stock | Disposition | 2018-09-18 | 2,367,424 | $0.00 | 260,617 | $0.00 |
| Common Stock | Series B-3 Preferred Stock | Disposition | 2018-09-18 | 4,942,070 | $0.00 | 544,047 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2018-09-18 | 1,521,895 | $0.00 | 167,537 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- S.R. One, Limited acquired 270,000 Common Stock of the Issuer in connection with the Issuer's initial public offering.
- The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
- The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
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