PROTEON THERAPEUTICS INC 4/A

Accession 0001012975-17-000502

$TARACIK 0001359931operating

View on SEC.gov Company Profile

Filed

Jun 29, 8:00 PM ET

Accepted

Jun 30, 1:51 PM ET

Size

15.2 KB

Accession

0001012975-17-000502

Insider Transaction Report

Form 4/AAmended

Period: 2017-06-22

PROTEON THERAPEUTICS INCPRTO

TVM Life Science Ventures VI GmbH & Co KG

10% Owner

Transactions

Purchase
Series A Convertible Preferred Stock
2017-06-22$1000.00/sh+372$372,000→ 500 total
Exercise: $0.99→ Common Stock, $0.001 par value (373,907 underlying)

Birner Hubert

Director10% Owner

Transactions

Purchase
Series A Convertible Preferred Stock
2017-06-22$1000.00/sh+372$372,000→ 500 total
Exercise: $0.99→ Common Stock, $0.001 par value (373,907 underlying)

Fischer Stefan

10% Owner

Transactions

Purchase
Series A Convertible Preferred Stock
2017-06-22$1000.00/sh+372$372,000→ 500 total
Exercise: $0.99→ Common Stock, $0.001 par value (373,907 underlying)

SCHUHSLER HELMUT

10% Owner

Transactions

Purchase
Series A Convertible Preferred Stock
2017-06-22$1000.00/sh+372$372,000→ 500 total
Exercise: $0.99→ Common Stock, $0.001 par value (373,907 underlying)

TVM Life Science Ventures VI LP

10% Owner

Transactions

Purchase
Series A Convertible Preferred Stock
2017-06-22$1000.00/sh+372$372,000→ 500 total
Exercise: $0.99→ Common Stock, $0.001 par value (373,907 underlying)

Footnotes (5)

[F1]This amendment to the original Form 4 does not amend any item originally reported in Table II and the first line item of Table II is restated in this amendment for the sole purpose of gaining access to the electronic filing system; footnotes relating to such first line item are included for completeness and have not been amended. This amendment is made by the Reporting Persons solely to include the power of attorney attached hereto as Exhibit 24.
[F2]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 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.
[F3]The Series A convertible preferred stock (the "Series A Stock") is convertible, at the option of the holder, into Proteon Therapeutics Inc. common stock, $0.01 par value per share (the "Common Stock"), at a price per share equal to $0.9949.
[F4]The Series A Stock has no expiration date.
[F5]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.

Documents

2 files

Issuer

PROTEON THERAPEUTICS INC

CIK 0001359931

→

Entity typeoperating

Related Parties

filerCIK 0001359931

Filing Metadata

Form type: 4/A
Filed: Jun 29, 8:00 PM ET
Accepted: Jun 30, 1:51 PM ET
Size: 15.2 KB

View on SEC.gov