4//SEC Filing
Haines Timothy 4
Accession 0000905718-19-000935
CIK 0001359931other
Filed
Nov 13, 7:00 PM ET
Accepted
Nov 14, 4:14 PM ET
Size
9.1 KB
Accession
0000905718-19-000935
Insider Transaction Report
Form 4
Haines Timothy
Director10% Owner
Transactions
- Conversion
Common Stock, $0.001 par value
2019-11-12$0.99/sh+126,645$125,999→ 2,144,517 total(indirect: By Abingworth Bioventures VI, LP) - Conversion
Series A Convertible Preferred Stock
2019-11-12−126→ 2,400 total(indirect: By Abingworth Bioventures VI, LP)Exercise: $0.99From: 2017-06-22→ Common Stock, $0.001 par value (126,645 underlying)
Footnotes (5)
- [F1]The shares are held by Abingworth Bioventures VI, LP ("Abingworth"). Abingworth Bioventures VI GP LP ("Abingworth GP") serves as the general partner of Abingworth. Abingworth General Partner VI LLP, serves as the general partner of Abingworth GP. Abingworth (acting by its general partner Abingworth GP, acting by its general partner Abingworth General Partner VI LLP) has delegated to Abingworth LLP, all investment and dispositive power over the securities held by Abingworth. The reporting person is a member of the investment committee of Abingworth LLP, which approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the shares held by Abingworth. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- [F2]This report shall not be deemed an admission that the reporting person, Abingworth or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- [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, $0.001 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 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
Issuer
PROTEON THERAPEUTICS INC
CIK 0001359931
Entity typeother
Related Parties
1- filerCIK 0001526068
Filing Metadata
- Form type
- 4
- Filed
- Nov 13, 7:00 PM ET
- Accepted
- Nov 14, 4:14 PM ET
- Size
- 9.1 KB