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Filing Details

Accession Number:: 0001209191-21-056246
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-09-15 18:58:09
Reporting Period:: 2021-09-13

Accepted Time:: 2021-09-15 18:58:09
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1661460	Poseida Therapeutics Inc.	PSTX	Biological Products, (No Disgnostic Substances) (2836)	472846548

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1765987	Eric Ostertag	C/O Poseida Therapeutics, Inc. 9390 Towne Centre Drive, Ste 200 San Diego CA 92121	Chief Executive Officer	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-09-13	2,757	$1.17	656,891	No	4	M	Direct
Common Stock	Acquisiton	2021-09-13	18,524	$9.15	675,415	No	4	M	Direct
Common Stock	Disposition	2021-09-14	20,000	$8.14	180,696	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	M	Direct
No	4	S	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2021-09-13	2,757	$0.00	2,757	$1.17
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2021-09-13	18,524	$0.00	18,524	$9.15

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2026-02-28	No	4	M	Direct
759,520		2031-02-03	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	3,679,826	Indirect	See footnote
Common Stock	3,377,085	Indirect	See footnote
Common Stock	629,194	Indirect	See footnote
Common Stock	961,445	Indirect	See footnote

Footnotes

The sales reported in this Form 4 were effected by Transposagen Biopharmaceuticals, Inc. ("Transposagen") pursuant to a Rule 10b5-1 trading plan established independently of Dr. Ostertag and in connection with a planned dissolution of Transposagen. Dr. Ostertag reports beneficial ownership of the shares held by Transposagen as a result of his affiliation with that entity.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.32 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within therange set forth in this footnote.
The shares are held in the name of Transposagen Biopharmaceuticals, Inc., of which Dr. Ostertag is a majority stockholder.
The shares are held in the name of the Eric Ostertag Living Trust dated March 30, 2016, of which the reporting person is the sole trustee.
The shares are held in the name of Titan, LLC, which is owned by the Ostertag Descendents' Trust, of which the reporting person's minor daughter is the sole beneficiary. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
The shares are held in the name of Twin Prime Investments, an entity wholly owned by the reporting person.
The shares are held in the name of the Ostertag Family Trust dated March 30, 2016, of which the reporting person is a trustee.
The stock option is fully vested and exercisable.
12.5% of the shares originally subject to the stock option vested and became exercisable on the August 4, 2021, and the remaining shares vest in 42 equal monthly installments thereafter.