0001209191-18-051834.txt : 20180920
0001209191-18-051834.hdr.sgml : 20180920
20180920185303
ACCESSION NUMBER: 0001209191-18-051834
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180918
FILED AS OF DATE: 20180920
DATE AS OF CHANGE: 20180920
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: New Leaf Ventures II, L.P.
CENTRAL INDEX KEY: 0001441439
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38653
FILM NUMBER: 181080322
BUSINESS ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: (646) 871-6400
MAIL ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: New Leaf Venture Associates II, L.P.
CENTRAL INDEX KEY: 0001441858
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38653
FILM NUMBER: 181080323
BUSINESS ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 646 871-6400
MAIL ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: New Leaf Venture Management II, L.L.C.
CENTRAL INDEX KEY: 0001441857
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38653
FILM NUMBER: 181080324
BUSINESS ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 646 871-6400
MAIL ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: New Leaf Biopharma Opportunities II, L.P.
CENTRAL INDEX KEY: 0001735293
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38653
FILM NUMBER: 181080325
BUSINESS ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: (646) 871-6400
MAIL ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: New Leaf BPO Associates II, L.P.
CENTRAL INDEX KEY: 0001740783
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38653
FILM NUMBER: 181080326
BUSINESS ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: (646) 871-6400
MAIL ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: New Leaf BPO Management II, L.L.C
CENTRAL INDEX KEY: 0001740755
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38653
FILM NUMBER: 181080327
BUSINESS ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: (646) 871-6400
MAIL ADDRESS:
STREET 1: TIMES SQUARE TOWER
STREET 2: 7 TIMES SQUARE, SUITE 3502
CITY: NEW YORK
STATE: NY
ZIP: 10036
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-09-18
0
0001510487
Principia Biopharma Inc.
PRNB
0001441439
New Leaf Ventures II, L.P.
C/O NEW LEAF VENTURES
7 TIMES SQUARE, SUITE 3502
NEW YORK
NY
10036
0
0
1
0
0001441858
New Leaf Venture Associates II, L.P.
C/O NEW LEAF VENTURES
7 TIMES SQUARE, SUITE 3502
NEW YORK
NY
10036
0
0
1
0
0001441857
New Leaf Venture Management II, L.L.C.
C/O NEW LEAF VENTURES
7 TIMES SQUARE, SUITE 3502
NEW YORK
NY
10036
0
0
1
0
0001735293
New Leaf Biopharma Opportunities II, L.P.
C/O NEW LEAF VENTURES
7 TIMES SQUARE, SUITE 3502
NEW YORK
NY
10036
0
0
1
0
0001740783
New Leaf BPO Associates II, L.P.
C/O NEW LEAF VENTURES
7 TIMES SQUARE, SUITE 3502
NEW YORK
NY
10036
0
0
1
0
0001740755
New Leaf BPO Management II, L.L.C
C/O NEW LEAF VENTURES
7 TIMES SQUARE, SUITE 3502
NEW YORK
NY
10036
0
0
1
0
Common Stock
2018-09-18
4
C
0
1070771
A
1070771
I
See footnote
Common Stock
2018-09-18
4
C
0
312741
A
1383512
I
See footnote
Common Stock
2018-09-18
4
C
0
260617
A
1644129
I
See footnote
Common Stock
2018-09-18
4
C
0
544047
A
2188176
I
See footnote
Common Stock
2018-09-18
4
C
0
167537
A
167537
I
See footnote
Common Stock
2018-09-18
4
P
0
270000
17.00
A
437537
I
See footnote
Series A Convertible Preferred Stock
2018-09-18
4
C
0
1070771
D
Common Stock
1070771
0
I
See footnote
Series B-1 Convertible Preferred Stock
2018-09-18
4
C
0
312741
D
Common Stock
312741
0
I
See footnote
Series B-2 Convertible Preferred Stock
2018-09-18
4
C
0
260617
D
Common Stock
260617
0
I
See footnote
Series B-3 Convertible Preferred Stock
2018-09-18
4
C
0
544047
D
Common Stock
544047
0
I
See footnote
Series C Convertible Preferred Stock
2018-09-18
4
C
0
167537
D
Common Stock
167537
0
I
See footnote
Warrant (Right to Buy)
2022-12-29
Common Stock
28623
28623
I
See footnote
All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering.
These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities.
Each of the NLV-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), and Becker may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities.
Each of the BPO-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
This warrant converted from a warrant to purchase Series B-3 Convertible Preferred Stock into a warrant to purchase Common Stock upon the closing of the Issuer's initial public offering.
This warrant is exercisable at any time.
New Leaf Ventures II, L.P., By: New Leaf Venture Associates II, L.P., its general partner, By: New Leaf Venture Management II, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer
2018-09-20
New Leaf Venture Associates II, L.P., By: New Leaf Venture Management II, L.L.C., its general partner, by /s/ Craig Slutzkin, Chief Financial Officer
2018-09-20
New Leaf Venture Management II, L.L.C., By: /s/ Craig Slutzkin, Chief Financial Officer
2018-09-20
New Leaf Biopharma Opportunities II, L.P., By: New Leaf BPO Associates II, L.P., its general partner, By: New Leaf BPO Management II, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer
2018-09-20
New Leaf BPO Associates II, L.P., By: New Leaf BPO Management II, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer
2018-09-20
New Leaf BPO Management II, L.L.C., By: /s/ Craig Slutzkin, Chief Financial Officer
2018-09-20