Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-054797
Date:2021-09-01
Issuer: POSEIDA THERAPEUTICS, INC. (PSTX)
Original Submission Date:

Reporting Person:

OSTERTAG ERIC
C/O POSEIDA THERAPEUTICS, INC.
9390 TOWNE CENTRE DRIVE, STE 200 SAN DIEGO, CA 92121

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 2021-09-01 S 26,686 d $8.46 3,711,789 indirect f3
COMMON STOCK 2021-09-02 S 31,963 d $8.34 3,679,826 indirect f3
COMMON STOCK 2021-09-01 S 24,463 d $8.46 3,406,384 indirect f5
COMMON STOCK 2021-09-02 S 29,299 d $8.34 3,377,085 indirect f5
COMMON STOCK 2021-09-01 0 $0.00 654,134 direct
COMMON STOCK 2021-09-01 0 $0.00 629,194 indirect f6
COMMON STOCK 2021-09-01 0 $0.00 961,445 indirect f7
COMMON STOCK 2021-09-01 0 $0.00 200,696 indirect f8
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
Footnotes
IDfootnote
f1 the sales reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on december 23, 2020.
f2 the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $8.29 to $8.78 per share, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
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 reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $8.14 to $8.83 per share, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
f5 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.
f6 the shares are held in the name of twin prime investments, an entity wholly owned by the reporting person.
f7 the shares are held in the name of the ostertag family trust dated march 30, 2016, of which the reporting person is a trustee.
f8 the shares are held in the name of transposagen biopharmaceuticals, inc., of which dr. ostertag is a majority stockholder.
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