4//SEC Filing
PROTEON THERAPEUTICS INC 4
Accession 0001012975-14-000687
$TARACIK 0001359931operating
Filed
Oct 28, 8:00 PM ET
Accepted
Oct 29, 4:56 PM ET
Size
29.6 KB
Accession
0001012975-14-000687
Insider Transaction Report
Form 4
O'Leary Brendan
Director
Transactions
- Conversion
Common Stock
2014-10-27+180,014→ 554,935 total(indirect: See footnote) - Conversion
Common Stock
2014-10-27+181,125→ 736,060 total(indirect: See footnote) - Conversion
Series C Convertible Preferred Stock
2014-10-27−2,478,183→ 0 total(indirect: See footnote)→ Common Stock (192,070 underlying) - Conversion
Common Stock
2014-10-27+374,921→ 374,921 total(indirect: See footnote) - Conversion
Common Stock
2014-10-27+192,070→ 928,130 total(indirect: See footnote) - Conversion
Common Stock
2014-10-27+252,052→ 1,180,182 total(indirect: See footnote) - Conversion
Common Stock
2014-10-27+123,846→ 1,304,028 total(indirect: See footnote) - Purchase
Common Stock
2014-10-27$10.00/sh+83,170$831,700→ 1,387,198 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2014-10-27−5,000,000→ 0 total(indirect: See footnote)→ Common Stock (374,921 underlying) - Conversion
Series A-1 Convertible Preferred Stock
2014-10-27−2,341,664→ 0 total(indirect: See footnote)→ Common Stock (180,014 underlying) - Conversion
Series B Convertible Preferred Stock
2014-10-27−2,336,956→ 0 total(indirect: See footnote)→ Common Stock (181,125 underlying) - Conversion
Series D Convertible Preferred Stock
2014-10-27−4,000,070→ 0 total(indirect: See footnote)→ Common Stock (252,052 underlying) - Disposition to Issuer
Common Stock Warrants
2014-10-27−1,965,454→ 0 total(indirect: See footnote)→ Common Stock (123,846 underlying)
Footnotes (7)
- [F1]The Series A Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.19 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
- [F2]The Series A-1 Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.22 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
- [F3]The Series B Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.23 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
- [F4]The Series C Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.23 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
- [F5]The Series D Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
- [F6]The Common Stock Warrants were exercised as a disposition to the Issuer and converted to shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
- [F7]Consists of securities held directly by Prism Venture Partners V, L.P. ("PVP V") and Prism Venture Partners V-A, L.P. ("PVP V-A"). Prism Investment Partners V, L.P. ("PIP V") is the sole general partner of PVP V and PVP V-A. Prism Venture Partners V, LLC ("PVP LLC") is the sole general partner of PIP V. Brendan O'Leary ("O'Leary") is a member of PVP LLC. O'Leary may be deemed to beneficially own the shares held by PVP V and PVP V-A, but O'Leary disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Documents
Issuer
PROTEON THERAPEUTICS INC
CIK 0001359931
Entity typeoperating
Related Parties
1- filerCIK 0001359931
Filing Metadata
- Form type
- 4
- Filed
- Oct 28, 8:00 PM ET
- Accepted
- Oct 29, 4:56 PM ET
- Size
- 29.6 KB