Novartis AG — Director's Dealing 2020

Jul 16, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Poseida Therapeutics, Inc. (PSTX)
CIK: 0001661460
Period of Report: 2020-07-14

Reporting Person: NOVARTIS PHARMA AG (10% Owner)
Reporting Person: NOVARTIS AG (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-07-14	Common Stock	C	5908089	—	Acquired	5908089	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-07-14	Series C Preferred Stock	$	C	7367387	Disposed		Common Stock (5908089)	Direct

Footnotes

F1: Each share of the Issuer's Series C Preferred Stock automatically converted into 0.8019246 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering. The Series C Preferred Stock had no expiration date.

F2: These securities are owned directly by Novartis Pharma AG, a direct, wholly-owned subsidiary of Novartis AG. Novartis AG is an indirect beneficial owner of these securities.