organization · Reporting owner
Sofinnova Management VIII, L.L.C.
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Principia Biopharma Inc.PRNB · Entity 146423 | 10% owner | September 18, 2018 | September 20, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Principia Biopharma Inc.
Report date September 18, 2018 · Filed September 20, 2018
Jointly reported with Sofinnova Venture Partners VIII, L.P., HEALY JAMES, POWELL MICHAEL, Mehra Anand
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,038,208 |
Last balance in matching sequence
After 2018-09-18 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2018-09-18 · Conversion · Acquired 625,482 · Balance 625,482 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. Row 2 · 2018-09-18 · Conversion · Acquired 521,235 · Balance 1,146,717 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. 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. Row 3 · 2018-09-18 · Conversion · Acquired 453,954 · Balance 1,600,671 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. 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. Row 4 · 2018-09-18 · Conversion · Acquired 167,537 · Balance 1,768,208 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. 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. Row 5 · 2018-09-18 · Purchase · Acquired 270,000 · Balance 2,038,208 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. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-18 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-09-18 · Conversion · Disposed 625,482 · Balance 0 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. |
| Series B-2 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-18 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-09-18 · Conversion · Disposed 521,235 · Balance 0 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. 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. |
| Series B-3 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-18 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-09-18 · Conversion · Disposed 453,954 · Balance 0 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. 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. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-18 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-09-18 · Conversion · Disposed 167,537 · Balance 0 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. 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. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Expires 2022-12-29 | Direct | 20,938 |
Reported balance
Holding disclosure · report date 2018-09-18 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 20,938 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. 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. 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. |
Filing footnotes · ownership attribution and instrument terms
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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 18, 2018 Filed Sep 20, 2018 19:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries C Preferred Stock · Derivative | 167,537 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051838 · doc4.xml · derivative · entry 9 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 167,537 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: 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. F5 · price: 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. F5 · derivative.exercise_date: 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. F5 · derivative.expiration_date: 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. F2 · ownership.direct: 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. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 19:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries B-3 Preferred Stock · Derivative | 453,954 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051838 · doc4.xml · derivative · entry 8 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 453,954 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: 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. F4 · price: 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. F4 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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. F2 · ownership.direct: 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. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 19:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries B-2 Preferred Stock · Derivative | 521,235 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051838 · doc4.xml · derivative · entry 7 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 521,235 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: 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. F3 · price: 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. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F2 · ownership.direct: 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. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 19:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries B-1 Preferred Stock · Derivative | 625,482 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051838 · doc4.xml · derivative · entry 6 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 625,482 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.direct: 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. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 19:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | PurchaseCommon Stock | 270,000 | $17.00 | $4,590,000.00 |
DisclosureSEC source: 0001209191-18-051838 · doc4.xml · nonDerivative · entry 5 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,038,208 F2 · ownership.direct: 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. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 19:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 167,537 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051838 · doc4.xml · nonDerivative · entry 4 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,768,208 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: 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. F2 · ownership.direct: 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. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 19:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 453,954 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051838 · doc4.xml · nonDerivative · entry 3 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,600,671 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: 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. F2 · ownership.direct: 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. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 19:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 521,235 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051838 · doc4.xml · nonDerivative · entry 2 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,146,717 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: 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. F2 · ownership.direct: 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. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 19:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 625,482 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051838 · doc4.xml · nonDerivative · entry 1 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 625,482 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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 · ownership.direct: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.