Filing Details
- Accession Number:
- 0001209191-20-039026
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-06-25 20:07:54
- Reporting Period:
- 2020-06-23
- Accepted Time:
- 2020-06-25 20:07:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1510487 | Principia Biopharma Inc. | PRNB | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1435618 | Martin Babler | C/O Principia Biopharma Inc. 220 E. Grand Avenue South San Francisco CA 94080 | President, Ceo | Yes | Yes | No | 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 | 2020-06-23 | 15,000 | $3.00 | 15,810 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-06-23 | 515 | $60.32 | 15,295 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-06-23 | 11,983 | $61.82 | 3,312 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-06-23 | 2,502 | $62.38 | 810 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2020-06-23 | 15,000 | $0.00 | 15,000 | $3.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 85,728 | 2023-10-23 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 39,179 | Indirect | See footnote |
| Common Stock | 18,355 | Indirect | See footnote |
Footnotes
- Includes 810 shares acquired under the Employment Stock Purchase Plan on May 15, 2020.
- The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- Represents the weighted average sales price per share. The shares sold at prices ranging from $60.00 to $60.75 per share. Upon request by the Commission staff, Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- Represents the weighted average sales price per share. The shares sold at prices ranging from $61.12 to $62.115 per share. Upon request by the Commission staff, Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- Represents the weighted average sales price per share. The shares sold at prices ranging from $62.137 to $62.52 per share. Upon request by the Commission staff, Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- Shares indirectly held by Babler Trust Agreement Dated October 25, 2006, of which the Reporting Person is a trustee and may be deemed to share voting and dispositive power over these shares.
- Shares indirectly held by Martin Babler, as custodian for his minor children under California Uniform Transfer to Minors Act, of which the Reporting Person is a custodian and may be deemed to share voting and dispositive power over these shares.
- The stock option is fully vested and immediately exercisable.
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