Poseida Therapeutics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 26 rows, 26 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-07-14: Reporting owner NOVARTIS AG | NOVARTIS PHARMA AG; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2020-07-14: Reporting owner Malin Corp plc | Malin Life Sciences Holdings Ltd; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2020-07-14: Reporting owner Malin Corp plc | Malin Life Sciences Holdings Ltd; Form 4; Security Series A-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2020-07-14: Reporting owner Malin Corp plc | Malin Life Sciences Holdings Ltd; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-07-14 | NOVARTIS AG | NOVARTIS PHARMA AG 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −7,367,387 0 owned after | no price filed | 2020-07-16 | |
| 2020-07-14 | Malin Corp plc | Malin Life Sciences Holdings Ltd 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,746,356 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Malin Corp plc | Malin Life Sciences Holdings Ltd 10% Owner | 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,457,725 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Malin Corp plc | Malin Life Sciences Holdings Ltd 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −860,585 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Malin Corp plc | Malin Life Sciences Holdings Ltd 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −392,927 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Ostertag Eric Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −319,039 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Ostertag Eric Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −437,318 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Murphy Sean Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −8,746,356 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Murphy Sean Director, 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,457,725 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Murphy Sean Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −860,585 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Murphy Sean Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −392,927 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Hirsch David Director | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,581,755 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-14 | Hirsch David Director | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −491,159 0 owned after | no price filed | 2020-07-15 | |
| 2020-07-13 holding as of filing | NOVARTIS PHARMA AG | NOVARTIS AG 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-13 | ||
| 2020-07-09 holding as of filing | Malin Life Sciences Holdings Ltd | Malin Corp plc 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Malin Life Sciences Holdings Ltd | Malin Corp plc 10% Owner | 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Malin Life Sciences Holdings Ltd | Malin Corp plc 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Malin Life Sciences Holdings Ltd | Malin Corp plc 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Murphy Sean Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Murphy Sean Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Murphy Sean Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Murphy Sean Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Ostertag Eric Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Ostertag Eric Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Hirsch David Director | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-09 | ||
| 2020-07-09 holding as of filing | Hirsch David Director | 3 | Series C Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-09 |