Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALUMIS INC.ALMS · Entity 4816 | Chief Business & Strategy Ofcr | August 03, 2026 | August 05, 2026 |
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.
ALUMIS INC.
Report date August 03, 2026 · Filed August 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 207,746 |
Reported balance
After 2026-08-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-08-03 · Sale · Disposed 2,692 · Balance 207,746 F1: The sale reported on this Form 4 was effected pursuant to the Issuer's policy requiring sell-to-cover to satisfy tax obligations of the Reporting Person incurred with the vesting and settlement of restricted stock units granted on July 29, 2025, and does not represent a discretionary sale by the Reporting Person. F2: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $25.62 to $26.42 per share. 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 the range set forth in this footnote. F3: Includes 1,037 shares acquired on November 20, 2025 and 3,000 shares acquired on May 20, 2026 under the Issuer's 2024 Employee Stock Purchase Plan. |
| Common StockSEC Table I · non-derivative | IndirectBy Daughter | 6,417 |
Reported balance
Holding disclosure · report date 2026-08-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 6,417 F4: Shares are held directly by the daughter of Reporting Person residing in his primary residence. |
Filing footnotes · ownership attribution and instrument terms
F1: The sale reported on this Form 4 was effected pursuant to the Issuer's policy requiring sell-to-cover to satisfy tax obligations of the Reporting Person incurred with the vesting and settlement of restricted stock units granted on July 29, 2025, and does not represent a discretionary sale by the Reporting Person.
F2: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $25.62 to $26.42 per share. 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 the range set forth in this footnote.
F3: Includes 1,037 shares acquired on November 20, 2025 and 3,000 shares acquired on May 20, 2026 under the Issuer's 2024 Employee Stock Purchase Plan.
F4: Shares are held directly by the daughter of Reporting Person residing in his primary residence.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Principia Biopharma Inc.
Report date September 28, 2020 · Filed September 28, 2020
Section 16 reporting ended · disclosed 2020-09-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-09-28 transaction · row 1
1 source rowRow 1 · 2020-09-28 · Other · Disposed 117,761 · Balance 0 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. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2020-09-28 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-09-28 · Other · Disposed 1,916 · Balance 0 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: Shares indirectly held by Roy Hardiman, as a fiduciary for his child, of which the Reporting Person may be deemed to share voting and dispositive power over these shares. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.27 · Expires 2027-12-13 | Direct | 0 |
Reported balance
After 2020-09-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-09-28 · Disposition to issuer · Disposed 11,519 · Balance 0 F3: 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. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.35 · Expires 2028-08-23 | Direct | 0 |
Reported balance
After 2020-09-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-09-28 · Disposition to issuer · Disposed 44,034 · Balance 0 F3: 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. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $35.42 · Expires 2029-02-28 | Direct | 0 |
Reported balance
After 2020-09-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-09-28 · Disposition to issuer · Disposed 60,000 · Balance 0 F3: 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. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $67.31 · Expires 2030-03-04 | Direct | 0 |
Reported balance
After 2020-09-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-09-28 · Disposition to issuer · Disposed 55,000 · Balance 0 F3: 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. |
Filing footnotes · ownership attribution and instrument terms
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: Shares indirectly held by Roy Hardiman, as a fiduciary for his child, of which the Reporting Person may be deemed to share voting and dispositive power over these shares.
F3: 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.
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 |
|---|---|---|---|---|---|---|
| August 03, 2026 Filed Aug 5, 2026 22:44 UTC | ALUMIS INC. ALMS · Entity 4816 | SaleCommon Stock | 2,692 | $26.37 | $70,988.04 |
DisclosureSEC source: 0001506218-26-000005 · form4-08052026_100804.xml · nonDerivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business & Strategy Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 207,746 F1 · shares: The sale reported on this Form 4 was effected pursuant to the Issuer's policy requiring sell-to-cover to satisfy tax obligations of the Reporting Person incurred with the vesting and settlement of restricted stock units granted on July 29, 2025, and does not represent a discretionary sale by the Reporting Person. F2 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $25.62 to $26.42 per share. 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 the range set forth in this footnote. F3 · balance_after: Includes 1,037 shares acquired on November 20, 2025 and 3,000 shares acquired on May 20, 2026 under the Issuer's 2024 Employee Stock Purchase Plan. Read SEC document |
| January 26, 2026 Filed Jan 29, 2026 00:19 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantStock Option (Right to Buy) · Derivative | 190,875 | $0.00 Strike: $26.31 | $0.00 |
DisclosureSEC source: 0001506218-26-000003 · form4-01292026_120145.xml · derivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business & Strategy Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 190,875 Underlying: Common Stock · 190,875 shares Expires 2036-01-25 F1 · derivative.exercise_date: 25% of the shares underlying this option vest on January 26, 2027, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan) to the Issuer on each such vesting date. Read SEC document |
| July 29, 2025 Filed Aug 1, 2025 01:05 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantStock Option (Right to Buy) · Derivative | 111,950 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0001415889-25-020805 · form4-07312025_090710.xml · derivative · entry 3 Hardiman Roy C. · CIK 0001506218 · Chief Business & Strategy Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 111,950 Underlying: Common Stock · 111,950 shares Expires 2035-07-28 F4 · derivative.exercise_date: 25% of the shares underlying this option vest on July 29, 2026, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan) to the Issuer on each such vesting date. Read SEC document |
| July 29, 2025 Filed Aug 1, 2025 01:05 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantCommon Stock | 28,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-020805 · form4-07312025_090710.xml · nonDerivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business & Strategy Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 206,401 F1 · shares: Represents shares of common stock issuable upon settlement of a restricted stock unit ("RSU") grant. 25% of the shares underlying this RSU vest on August 1, 2026, and the remaining shares vest in equal quarterly installments thereafter over the following 12 quarters, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan) to the Issuer on each such vesting date. F2 · balance_after: Includes 3,000 shares acquired on May 20, 2025 under the Issuer's 2024 Employee Stock Purchase Plan. Read SEC document |
| February 18, 2025 Filed Feb 21, 2025 00:13 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantStock Option (Right to Buy) · Derivative | 140,000 | $0.00 Strike: $5.06 | $0.00 |
DisclosureSEC source: 0001415889-25-004958 · form4-02212025_120222.xml · derivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business & Strategy Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 140,000 Underlying: Common Stock · 140,000 shares Expires 2035-02-17 F1 · derivative.exercise_date: 25% of the shares underlying this option vest on February 18, 2026, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantStock Option (Right to Buy) · Derivative | 53,475 | $0.00 Strike: $13.33 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 16 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,475 Underlying: Common Stock · 53,475 shares Expires 2034-06-05 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F8 · derivative.exercise_date: 25% of the shares underlying this option vest on June 6, 2025, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | Disposition to issuerStock Option (Right to Buy) · Derivative | 53,475 | $0.00 Strike: $13.33 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 15 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 53,475 shares Expires 2034-06-05 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F8 · derivative.exercise_date: 25% of the shares underlying this option vest on June 6, 2025, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantStock Option (Right to Buy) · Derivative | 206,074 | $0.00 Strike: $10.20 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 14 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 206,074 Underlying: Common Stock · 206,074 shares Expires 2034-05-05 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F7 · derivative.exercise_date: The option vests in three equal installments, subject to the Issuer's satisfaction of certain performance criteria on each of May 6, 2028, May 6, 2029 and May 6, 2030, and subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | Disposition to issuerStock Option (Right to Buy) · Derivative | 206,074 | $0.00 Strike: $10.20 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 13 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 206,074 shares Expires 2034-05-05 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F7 · derivative.exercise_date: The option vests in three equal installments, subject to the Issuer's satisfaction of certain performance criteria on each of May 6, 2028, May 6, 2029 and May 6, 2030, and subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantStock Option (Right to Buy) · Derivative | 30,642 | $0.00 Strike: $8.84 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 12 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,642 Underlying: Common Stock · 30,642 shares Expires 2033-10-08 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F6 · derivative.exercise_date: 25% of the shares underlying this option vest on October 9, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | Disposition to issuerStock Option (Right to Buy) · Derivative | 30,642 | $0.00 Strike: $8.84 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 11 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 30,642 shares Expires 2033-10-08 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F6 · derivative.exercise_date: 25% of the shares underlying this option vest on October 9, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantStock Option (Right to Buy) · Derivative | 14,973 | $0.00 Strike: $8.84 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 10 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,973 Underlying: Common Stock · 14,973 shares Expires 2033-06-22 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F5 · derivative.exercise_date: 25% of the shares underlying this option vested on May 22, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | Disposition to issuerStock Option (Right to Buy) · Derivative | 14,973 | $0.00 Strike: $8.84 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 9 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 14,973 shares Expires 2033-06-22 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F5 · derivative.exercise_date: 25% of the shares underlying this option vested on May 22, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantStock Option (Right to Buy) · Derivative | 151,871 | $0.00 Strike: $8.84 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 8 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 151,871 Underlying: Common Stock · 151,871 shares Expires 2032-01-26 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F4 · derivative.exercise_date: 33% of the shares underlying this option vested on January 27, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 48 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | Disposition to issuerStock Option (Right to Buy) · Derivative | 151,871 | $0.00 Strike: $8.84 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 7 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 151,871 shares Expires 2032-01-26 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F4 · derivative.exercise_date: 33% of the shares underlying this option vested on January 27, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 48 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantStock Option (Right to Buy) · Derivative | 42,780 | $0.00 Strike: $8.84 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 6 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,780 Underlying: Common Stock · 42,780 shares Expires 2032-01-26 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F3 · derivative.exercise_date: 25% of the shares underlying this option vested on January 27, 2023, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | Disposition to issuerStock Option (Right to Buy) · Derivative | 42,780 | $0.00 Strike: $8.84 | $0.00 |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · derivative · entry 5 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 42,780 shares Expires 2032-01-26 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F3 · derivative.exercise_date: 25% of the shares underlying this option vested on January 27, 2023, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantCommon Stock | 6,417 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · nonDerivative · entry 4 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Daughter Disclosed balance after: 6,417 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F1 · price: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F2 · ownership.nature: Shares are held directly by the daughter of Reporting Person residing in his primary residence. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | Disposition to issuerClass A Common Stock | 6,417 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · nonDerivative · entry 3 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Daughter Disclosed balance after: 0 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F1 · price: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F2 · ownership.nature: Shares are held directly by the daughter of Reporting Person residing in his primary residence. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | GrantCommon Stock | 175,401 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · nonDerivative · entry 2 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 175,401 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F1 · price: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 20:38 UTC | ALUMIS INC. ALMS · Entity 4816 | Disposition to issuerClass A Common Stock | 175,401 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-018597 · form4-07012024_080737.xml · nonDerivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business & Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. F1 · price: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. Read SEC document |
| September 28, 2020 Filed Sep 28, 2020 21:14 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 55,000 | Not disclosed Strike: $67.31 | Not disclosed |
DisclosureSEC source: 0001209191-20-052225 · doc4.xml · derivative · entry 6 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 55,000 shares Expires 2030-03-04 F3 · kind: 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. F3 · price: 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. F3 · derivative.exercise_date: 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. Read SEC document |
| September 28, 2020 Filed Sep 28, 2020 21:14 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 60,000 | Not disclosed Strike: $35.42 | Not disclosed |
DisclosureSEC source: 0001209191-20-052225 · doc4.xml · derivative · entry 5 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 shares Expires 2029-02-28 F3 · kind: 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. F3 · price: 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. F3 · derivative.exercise_date: 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. Read SEC document |
| September 28, 2020 Filed Sep 28, 2020 21:14 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 44,034 | Not disclosed Strike: $11.35 | Not disclosed |
DisclosureSEC source: 0001209191-20-052225 · doc4.xml · derivative · entry 4 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 44,034 shares Expires 2028-08-23 F3 · kind: 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. F3 · price: 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. F3 · derivative.exercise_date: 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. Read SEC document |
| September 28, 2020 Filed Sep 28, 2020 21:14 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 11,519 | Not disclosed Strike: $7.27 | Not disclosed |
DisclosureSEC source: 0001209191-20-052225 · doc4.xml · derivative · entry 3 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,519 shares Expires 2027-12-13 F3 · kind: 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. F3 · price: 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. F3 · derivative.exercise_date: 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. Read SEC document |
| September 28, 2020 Filed Sep 28, 2020 21:14 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | OtherCommon Stock | 1,916 | $100.00 | $191,600.00 |
DisclosureSEC source: 0001209191-20-052225 · doc4.xml · nonDerivative · entry 2 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: 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 · ownership.nature: Shares indirectly held by Roy Hardiman, as a fiduciary for his child, of which the Reporting Person may be deemed to share voting and dispositive power over these shares. Read SEC document |
| September 28, 2020 Filed Sep 28, 2020 21:14 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | OtherCommon Stock | 117,761 | $100.00 | $11,776,100.00 |
DisclosureSEC source: 0001209191-20-052225 · doc4.xml · nonDerivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: 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. Read SEC document |
| September 18, 2020 Filed Sep 23, 2020 00:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 2,242 | $0.00 Strike: $7.27 | $0.00 |
DisclosureSEC source: 0001209191-20-051590 · doc4.xml · derivative · entry 6 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,519 Underlying: Common Stock · 2,242 shares Expires 2027-12-13 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_date: The stock option vested and became exercisable as to 25% of the shares subject to the option on December 14, 2018, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Read SEC document |
| September 18, 2020 Filed Sep 23, 2020 00:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 2,758 | $0.00 Strike: $4.72 | $0.00 |
DisclosureSEC source: 0001209191-20-051590 · doc4.xml · derivative · entry 5 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,758 shares Expires 2025-02-25 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_date: The stock option is fully vested and immediately exercisable. Read SEC document |
| September 18, 2020 Filed Sep 23, 2020 00:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 5,000 | $99.98 | $499,917.50 |
DisclosureSEC source: 0001209191-20-051590 · doc4.xml · nonDerivative · entry 3 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,761 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $99.95 to $100.05 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. Read SEC document |
| September 18, 2020 Filed Sep 23, 2020 00:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionCommon Stock | 2,242 | $7.27 | $16,292.84 |
DisclosureSEC source: 0001209191-20-051590 · doc4.xml · nonDerivative · entry 2 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,761 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. Read SEC document |
| September 18, 2020 Filed Sep 23, 2020 00:02 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionCommon Stock | 2,758 | $4.72 | $13,027.69 |
DisclosureSEC source: 0001209191-20-051590 · doc4.xml · nonDerivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,519 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. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 00:12 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $4.72 | $0.00 |
DisclosureSEC source: 0001209191-20-036824 · doc4.xml · derivative · entry 6 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,758 Underlying: Common Stock · 5,000 shares Expires 2025-02-25 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. F7 · derivative.exercise_date: The stock option is fully vested and immediately exercisable. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 00:12 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 863 | $62.13 | $53,617.24 |
DisclosureSEC source: 0001209191-20-036824 · doc4.xml · nonDerivative · entry 4 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,761 F2 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F5 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $62.03 to $62.63 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. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 00:12 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 2,542 | $61.62 | $156,630.16 |
DisclosureSEC source: 0001209191-20-036824 · doc4.xml · nonDerivative · entry 3 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,624 F2 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $61.00 to $61.98 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. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 00:12 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 1,595 | $59.90 | $95,540.98 |
DisclosureSEC source: 0001209191-20-036824 · doc4.xml · nonDerivative · entry 2 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,166 F2 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $59.41 to $60.23 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. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 00:12 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionCommon Stock | 5,000 | $4.72 | $23,618.00 |
DisclosureSEC source: 0001209191-20-036824 · doc4.xml · nonDerivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,761 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 · balance_after: Includes 858 shares shares acquired under the Employment Stock Purchase Plan on May 15, 2020. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 21:08 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $4.72 | $0.00 |
DisclosureSEC source: 0001209191-20-019667 · doc4.xml · derivative · entry 6 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,758 Underlying: Common Stock · 5,000 shares Expires 2025-02-25 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_date: The stock option is fully vested and immediately exercisable. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 21:08 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 100 | $51.04 | $5,104.00 |
DisclosureSEC source: 0001209191-20-019667 · doc4.xml · nonDerivative · entry 4 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,903 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 21:08 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 1,181 | $49.46 | $58,407.65 |
DisclosureSEC source: 0001209191-20-019667 · doc4.xml · nonDerivative · entry 3 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,003 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $49.33 to $50.06 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. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 21:08 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 3,719 | $48.21 | $179,304.15 |
DisclosureSEC source: 0001209191-20-019667 · doc4.xml · nonDerivative · entry 2 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,184 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $48.00 to $48.88 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. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 21:08 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionCommon Stock | 5,000 | $4.72 | $23,618.00 |
DisclosureSEC source: 0001209191-20-019667 · doc4.xml · nonDerivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,903 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. Read SEC document |
| March 05, 2020 Filed Mar 5, 2020 22:27 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | GrantEmployee Stock Option (right to buy) · Derivative | 55,000 | $0.00 Strike: $67.31 | $0.00 |
DisclosureSEC source: 0001209191-20-016691 · doc4.xml · derivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2030-03-04 F1 · derivative.exercise_date: The stock option vests and becomes exercisable as to 25% of the shares subject to the option on March 5, 2021, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Read SEC document |
| December 30, 2019 Filed Feb 14, 2020 22:04 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | GiftCommon Stock | 540 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009736 · doc5.xml · nonDerivative · entry 2 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,916 F1 · ownership.nature: Shares indirectly held by Roy Hardiman, as custodian for his minor child under California Uniform Transfer to Minor Act, of which the Reporting Person is a custodian and may be deemed to share voting and dispositive power over these shares. Read SEC document |
| December 30, 2019 Filed Feb 14, 2020 22:04 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | GiftCommon Stock | 3,240 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009736 · doc5.xml · nonDerivative · entry 1 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,903 Read SEC document |
| December 13, 2019 Filed Dec 14, 2019 01:04 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 4,129 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001209191-19-060531 · doc4.xml · derivative · entry 7 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,129 shares Expires 2025-07-20 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. F7 · derivative.exercise_date: The stock option vested and became exercisable as to 25% of the shares subject to the option on July 21, 2016, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Read SEC document |
| December 13, 2019 Filed Dec 14, 2019 01:04 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 871 | $0.00 Strike: $4.72 | $0.00 |
DisclosureSEC source: 0001209191-19-060531 · doc4.xml · derivative · entry 6 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,758 Underlying: Common Stock · 871 shares Expires 2025-02-25 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. F6 · derivative.exercise_date: The stock option vested and became exercisable as to 25% of the shares subject to the option on January 5, 2016, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Read SEC document |
| December 13, 2019 Filed Dec 14, 2019 01:04 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 1,619 | $49.83 | $80,681.89 |
DisclosureSEC source: 0001209191-19-060531 · doc4.xml · nonDerivative · entry 4 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,143 F2 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $49.57 to $50.04 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. Read SEC document |
| December 13, 2019 Filed Dec 14, 2019 01:04 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 3,381 | $49.20 | $166,351.96 |
DisclosureSEC source: 0001209191-19-060531 · doc4.xml · nonDerivative · entry 3 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,762 F2 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $48.49 to $49.48 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. Read SEC document |
| December 13, 2019 Filed Dec 14, 2019 01:04 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Exercise / conversionCommon Stock | 4,129 | $5.00 | $20,628.90 |
DisclosureSEC source: 0001209191-19-060531 · doc4.xml · nonDerivative · entry 2 Hardiman Roy C. · CIK 0001506218 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,143 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. 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.