SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Ostertag Eric

(Last) (First) (Middle)
C/O POSEIDA THERAPEUTICS, INC.
9390 TOWNE CENTRE DRIVE, STE 200

(Street)
SAN DIEGO CA 92121

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/09/2020
3. Issuer Name and Ticker or Trading Symbol
Poseida Therapeutics, Inc. [ PSTX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 364,056 D
Common Stock 3,972,217 I See footnote(1)
Common Stock 3,645,111 I See footnote(2)
Common Stock 961,445 I See footnote(3)
Common Stock 373,349 I See footnote(4)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock (5) (5) Common Stock 255,845 (5) I See footnote(4)
Series A-1 Preferred Stock (5) (5) Common Stock 350,696 (5) I See footnote(6)
Employee Stock Option (Right to Buy) (7) 02/28/2026 Common Stock 67,534 1.29 D
Employee Stock Option (Right to Buy) (7) 02/28/2026 Common Stock 114,152 1.173 D
Employee Stock Option (Right to Buy) (8) 12/11/2029 Common Stock 32,076 13.468 D
Employee Stock Option (Right to Buy) (8) 12/11/2029 Common Stock 208,500 12.234 D
Explanation of Responses:
1. 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.
2. The shares are held in the name of Titan, LLC, which is owned by the Ostertag Descendents' Trust, of which the reporting person is a Trustee. The reporting person's minor daughter is the sole beneficiary of the Trust. 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.
3. The shares are held in the name of the Ostertag Family Trust dated March 30, 2016, of which the reporting person is a trustee.
4. The shares are held in the name of Twin Prime Investments, an entity wholly owned by the reporting person.
5. Each share of Series A Preferred Stock and Series A-1 Preferred Stock (the "Preferred Stock") is convertible into 0.8019246 shares of Common Stock. The Preferred Stock has no expiration date.
6. The shares are held in the name of Transposagen Biopharmaceuticals, Inc. ("Transposagen"). Dr. Ostertag is a member of the board of directors and majority stockholder of Transposagen.
7. The stock option is fully vested and exercisable.
8. 12.5% of the shares subject to the stock option vested and became exercisable on June 11, 2020, and the remaining shares vest in 42 equal monthly installments thereafter.
Remarks:
/s/ Johanna M. Mylet, Attorney-in-Fact 07/09/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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POWER OF ATTORNEY

Know all by these presents, that the undersigned hereby constitutes and appoints
each of Mark J. Gergen and Johanna M. Mylet of Poseida Therapeutics, Inc. (the
"Company"), signing individually, the undersigned's true and lawful attorney-in
fact and agent to:

(1) execute for and on behalf of the undersigned, an officer, director or holder
of 10% of more of a registered class of securities of the Company, Forms 3, 4
and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934,
as amended (the "Exchange Act") and the rules thereunder;

(2) do and perform any and all acts for and on behalf of the undersigned that
may be necessary or desirable to complete and execute such Form 3, 4 or 5,
complete and execute any amendment or amendments thereto, and timely file such
forms or amendments with the United States Securities and Exchange Commission
and any stock exchange or similar authority; and

(3) take any other action of any nature whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit, in
the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted.  The undersigned acknowledges that each of the foregoing
attorneys-in-fact, in serving in such capacity at the request of the
undersigned, is not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Exchange Act.

This Power of Attorney shall remain in full force and effect until the earliest
to occur of (a) the undersigned is no longer required to file Forms 3, 4 and 5
with respect to the undersigned's holdings of and transactions in securities
issued by the Company, (b) revocation by the undersigned in a signed writing
delivered to the foregoing attorney-in-fact or (c) until such attorney-in-fact
shall no longer be employed by the Company.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 30th day of June, 2020.


/s/ Eric Ostertag