Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-019667
Date:2020-03-13
Issuer: PRINCIPIA BIOPHARMA INC. (PRNB)
Original Submission Date:

Reporting Person:

HARDIMAN ROY C.
C/O PRINCIPIA BIOPHARMA INC.
220 E. GRAND AVENUE SOUTH SAN FRANCISCO, CA 94080

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-03-13 M 5,000 a $4.72 121,903 direct
COMMON STOCK 2020-03-13 S 3,719 d $48.21 118,184 direct
COMMON STOCK 2020-03-13 S 1,181 d $49.46 117,003 direct
COMMON STOCK 2020-03-13 S 100 d $51.04 116,903 direct
COMMON STOCK 2020-03-13 0 $0.00 1,916 indirect f4
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 4.7236 2020-03-13 deemed execution date M 5,000 (d) 2025-02-25 common stock 5,000 $4.72 7,758 direct
Footnotes
IDfootnote
f1 the sales reported on this form 4 were effected pursuant to a rule 10b5-1 trading plan.
f2 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.
f3 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.
f4 shares indirectly held by roy hardiman, as custodian for his minor child under california uniform transfers to minors act, of which the reporting person is a custodian and may be deemed to share voting and dispositive power over these shares.
f5 the stock option is fully vested and immediately exercisable.
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