Eric Ostertag - 06 Aug 2021 Form 4 Insider Report for Poseida Therapeutics, Inc.

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Harry J. Leonhardt, Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
06 Aug 2021
Net transactions value
+$1,017,013
Form type
4
Filing time
10 Aug 2021, 18:56:07 UTC
Previous filing
04 Aug 2021
Next filing
03 Sep 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PSTX Common Stock Options Exercise $1,017,013 +111,149 +20% $9.15 654,134 06 Aug 2021 Direct
holding PSTX Common Stock 3,738,475 06 Aug 2021 See footnote F1
holding PSTX Common Stock 3,430,847 06 Aug 2021 See footnote F2
holding PSTX Common Stock 629,194 06 Aug 2021 See footnote F3
holding PSTX Common Stock 961,445 06 Aug 2021 See footnote F4
holding PSTX Common Stock 200,696 06 Aug 2021 See footnote F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PSTX Employee Stock Option (Right to Buy) Options Exercise $0 -111,149 -12% $0.000000 778,044 06 Aug 2021 Common Stock 111,149 $9.15 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 The shares are held in the name of Titan, LLC, which is owned by the Ostertag Descendents' Trust, of which the reporting person's minor daughter is the sole beneficiary. 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.
F3 The shares are held in the name of Twin Prime Investments, an entity wholly owned by the reporting person.
F4 The shares are held in the name of the Ostertag Family Trust dated March 30, 2016, of which the reporting person is a trustee.
F5 The shares are held in the name of Transposagen Biopharmaceuticals, Inc., of which Dr. Ostertag is a majority stockholder.
F6 12.5% of the shares subject to the stock option vested and became exercisable on the August 4, 2021, and the remaining shares will vest in 42 equal monthly installments thereafter.