0001209191-18-050897.txt : 20180913 0001209191-18-050897.hdr.sgml : 20180913 20180913171020 ACCESSION NUMBER: 0001209191-18-050897 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180913 FILED AS OF DATE: 20180913 DATE AS OF CHANGE: 20180913 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sofinnova Venture Partners VIII, L.P. CENTRAL INDEX KEY: 0001524064 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38653 FILM NUMBER: 181069439 BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-681-8420 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sofinnova Management VIII, L.L.C. CENTRAL INDEX KEY: 0001559565 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38653 FILM NUMBER: 181069440 BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-681-8420 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HEALY JAMES CENTRAL INDEX KEY: 0001245624 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38653 FILM NUMBER: 181069441 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: POWELL MICHAEL CENTRAL INDEX KEY: 0001202793 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38653 FILM NUMBER: 181069442 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mehra Anand CENTRAL INDEX KEY: 0001590102 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38653 FILM NUMBER: 181069443 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Principia Biopharma Inc. CENTRAL INDEX KEY: 0001510487 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 263487603 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 400 EAST JAMIE COURT, SUITE 302 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: (650) 416-7700 MAIL ADDRESS: STREET 1: 400 EAST JAMIE COURT, SUITE 302 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2018-09-13 0 0001510487 Principia Biopharma Inc. PRNB 0001524064 Sofinnova Venture Partners VIII, L.P. SOFINNOVA VENTURES 3000 SAND HILL ROAD, 4-250 MENLO PARK CA 94025 0 0 1 0 0001559565 Sofinnova Management VIII, L.L.C. SOFINNOVA VENTURES 3000 SAND HILL ROAD, 4-250 MENLO PARK CA 94025 0 0 1 0 0001245624 HEALY JAMES SOFINNOVA VENTURES 3000 SAND HILL ROAD, 4-250 MENLO PARK CA 94025 0 0 1 0 0001202793 POWELL MICHAEL SOFINNOVA VENTURES 3000 SAND HILL ROAD, 4-250 MENLO PARK CA 94025 0 0 1 0 0001590102 Mehra Anand SOFINNOVA VENTURES 3000 SAND HILL ROAD, 4-250 MENLO PARK CA 94025 0 0 1 0 Series B-1 Preferred Stock Common Stock 625482 D Series B-2 Preferred Stock Common Stock 521235 D Series B-3 Preferred Stock Common Stock 453954 D Series C Preferred Stock Common Stock 167537 D Warrant to Purchase Series B-3 Preferred Stock 8.9931 2022-12-29 Series B-3 Preferred Stock 20938 D Each share of the Series B-1 Preferred Stock is convertible, at any time, at the holder's election, into 1 share of the Issuer's common stock. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series B-1 Preferred Stock will automatically convert into 1 share of the Issuer's common stock. The Series B-1 Preferred Stock has no expiration date. 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. Each share of the Series B-2 Preferred Stock is convertible, at any time, at the holder's election, into 1 share of the Issuer's common stock. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series B-2 Preferred Stock will automatically convert into 1 share of the Issuer's common stock. The Series B-2 Preferred Stock has no expiration date. Each share of the Series B-3 Preferred Stock is convertible, at any time, at the holder's election, into 1 share of the Issuer's common stock. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series B-3 Preferred Stock will automatically convert into 1 share of the Issuer's common stock. The Series B-3 Preferred Stock has no expiration date. Each share of the Series C Preferred Stock is convertible, at any time, at the holder's election, into 1 share of the Issuer's common stock. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series C Preferred Stock will automatically convert into 1 share of the Issuer's common stock. The Series C Preferred Stock has no expiration date. This warrant is exercisable at any time. /s/ Nathalie Auber, Attorney-in-Fact for Sofinnova Venture Partners VIII, L.P. 2018-09-13 /s/ Nathalie Auber, Attorney-in-Fact for Sofinnova Management VIII, L.L.C. 2018-09-13 /s/ Nathalie Auber, Attorney-in-Fact for James Healy 2018-09-13 /s/ Nathalie Auber, Attorney-in-Fact for Michael Powell 2018-09-13 /s/ Nathalie Auber, Attorney-in-Fact for Anand Mehra 2018-09-13