Novartis AG — Director's Dealing 2020

Jul 13, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Poseida Therapeutics, Inc. (PSTX)
CIK: 0001661460
Period of Report: 2020-07-09

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

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series C Preferred Stock	$		Common Stock (5908089)		Direct

Footnotes

F1: Each share of Series C Preferred Stock is convertible into 0.8019246 shares of Common Stock and has 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.