Eric Ostertag - Feb 1, 2022 Form 4 Insider Report for Poseida Therapeutics, Inc. (PSTX)

Role
Executive Chairman, Director, 10%+ Owner
Signature
/s/ Harry J. Leonhardt, Attorney-in-Fact
Stock symbol
PSTX
Transactions as of
Feb 1, 2022
Transactions value $
$0
Form type
4
Date filed
2/1/2022, 08:48 PM
Previous filing
Nov 22, 2021
Next filing
Aug 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PSTX Common Stock Gift $0 -94K -13.47% $0.00 603K Dec 30, 2021 Direct
transaction PSTX Common Stock Gift $0 -48.9K -7.77% $0.00 580K Dec 30, 2021 See footnote F1
transaction PSTX Common Stock Award $0 +89.5K +14.83% $0.00 693K Feb 1, 2022 Direct F2
holding PSTX Common Stock 3.66M Feb 1, 2022 See footnote F3
holding PSTX Common Stock 3.36M Feb 1, 2022 See footnote F4
holding PSTX Common Stock 961K Feb 1, 2022 See footnote F5
holding PSTX Common Stock 161K Feb 1, 2022 See footnote F6

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) Award $0 +119K $0.00 119K Feb 1, 2022 Common Stock 119K $4.75 Direct F7
transaction PSTX Employee Stock Option (Right to Buy) Award $0 +10.8K $0.00 10.8K Feb 1, 2022 Common Stock 10.8K $5.23 Direct F7, F8
* 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 Twin Prime Investments, an entity wholly owned by the reporting person.
F2 Represents shares issuable upon the vesting of restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest in two equal annual installments.
F3 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.
F4 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.
F5 The shares are held in the name of the Ostertag Family Trust dated March 30, 2016, of which the reporting person is a trustee.
F6 The shares are held in the name of Transposagen Biopharmaceuticals, Inc., of which Dr. Ostertag is a majority stockholder.
F7 25% of the shares subject to the stock option will vest and become exercisable on the six-month anniversary of the grant date listed in column 3 above, and the remaining shares will vest in 18 equal monthly installments thereafter.
F8 The exercise price of the incentive stock option is equal to 110% of the fair market value of the Issuer's common stock on the date of grant, due to the reporting person's status as the beneficial owner of 10% or more of the Issuer's common stock on the grant date.