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

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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.