4//SEC Filing
PROTEON THERAPEUTICS INC 4
Accession 0000899243-17-017250
$TARACIK 0001359931operating
Filed
Jun 25, 8:00 PM ET
Accepted
Jun 26, 6:06 PM ET
Size
15.7 KB
Accession
0000899243-17-017250
Insider Transaction Report
Form 4
Transactions
- Purchase
Series A Convertible Preferred Stock
2017-06-22$1000.00/sh+372$372,000→ 500 totalExercise: $0.99→ Common Stock, $0.001 par value (373,907 underlying) - Purchase
Series A Convertible Preferred Stock
2017-06-22$1000.00/sh+128$128,000→ 500 totalExercise: $0.99→ Common Stock, $0.001 par value (128,656 underlying)
Footnotes (5)
- [F1]The shares are directly held by TVM Life Science Ventures VI GMBH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), and Helmut Schuhsler ("Schuhsler") are members of the investment committee of TVM Life Science Ventures Management VI L.P. ("TVM VI Management"), a special limited partner of TVM VI, with voting and dispositive power over the shares held by TVM VI. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any. Birner is a director of the issuer.
- [F2]The Series A convertible preferred stock (the "Series A Stock") is convertible, at the option of the holder, into Proteon Therapeutics Inc. common stock, $0.001 par value per share (the "Common Stock"), at a price per share equal to $0.9949.
- [F3]The Series A Stock has no expiration date.
- [F4]The certificate of designations for the Series A Stock contains a provision prohibiting conversion to the extent that upon conversion the holder, together with its affiliates and any "group" members, would beneficially own in excess of 9.985% of the number of shares of Common Stock then outstanding.
- [F5]The shares are directly held by TVM Life Science Ventures VI L.P. ("TVM VI LP"). Birner, Fischer and Schuhsler are members of the investment committee of TVM VI Management, a special limited partner of TVM VI LP, with voting and dispositive power over the shares held by TVM VI LP. TVM VI Management, Birner, Fischer and Schuhsler each disclaim beneficial ownership of the shares held by TVM VI LP, except to the extent of any pecuniary interest therein, if any.
Documents
Issuer
PROTEON THERAPEUTICS INC
CIK 0001359931
Entity typeoperating
Related Parties
1- filerCIK 0001359931
Filing Metadata
- Form type
- 4
- Filed
- Jun 25, 8:00 PM ET
- Accepted
- Jun 26, 6:06 PM ET
- Size
- 15.7 KB