Statement of Changes in Beneficial Ownership (4)
February 12 2021 - 5:44PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Ostertag Eric |
2. Issuer Name and Ticker or Trading Symbol
Poseida Therapeutics, Inc.
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PSTX
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O POSEIDA THERAPEUTICS, INC., 9390 TOWNE CENTRE DRIVE, STE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/10/2021 |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/10/2021 | | M | | 67534 | A | $1.29 | 431590 | D | |
Common Stock | 2/10/2021 | | S(1) | | 12389 | D | $10.00 | 333845 | I | See footnote (2) |
Common Stock | | | | | | | | 629194 | I | See footnote (3) |
Common Stock | | | | | | | | 3972217 | I | See footnote (4) |
Common Stock | | | | | | | | 3645111 | I | See footnote (5) |
Common Stock | | | | | | | | 961445 | I | See footnote (6) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $1.29 | 2/10/2021 | | M | | | 67534 | (7) | 2/28/2026 | Common Stock | 67534 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected by Transposagen Biopharmaceuticals, Inc. ("Transposagen") pursuant to a Rule 10b5-1 trading plan established independently of Dr. Ostertag and in connection with a planned dissolution of Transposagen. Dr. Ostertag reports beneficial ownership of the shares held by Transposagen as a result of his affiliation with that entity. |
(2) | The shares are held in the name of Transposagen, of which Dr. Ostertag is a majority stockholder. |
(3) | The shares are held in the name of Twin Prime Investments, an entity wholly owned by the reporting person. |
(4) | The shares are held in the name of the Eric Ostertag Living Trust dated March 30, 2016, of which the reporting person is the sole trustee. |
(5) | The shares are held in the name of Titan, LLC, which is owned by the Ostertag Descendents' Trust, of which the reporting person is a Trustee. The reporting person's minor daughter is the sole beneficiary of the Trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
(6) | The shares are held in the name of the Ostertag Family Trust dated March 30, 2016, of which the reporting person is a trustee. |
(7) | The stock option is fully vested and exercisable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ostertag Eric C/O POSEIDA THERAPEUTICS, INC. 9390 TOWNE CENTRE DRIVE, STE 200 SAN DIEGO, CA 92121 | X | X | Chief Executive Officer |
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Signatures
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/s/ Johanna Mylet, Attorney-in-Fact | | 2/12/2021 |
**Signature of Reporting Person | Date |
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