Earnings Feed
Sign Up
Home/Filings/4/0001104659-14-075070
4//SEC Filing

PROTEON THERAPEUTICS INC 4

Accession 0001104659-14-075070

$TARACIK 0001359931operating
View on SEC.govCompany Profile

Filed

Oct 29, 8:00 PM ET

Accepted

Oct 30, 8:23 AM ET

Size

57.0 KB

Accession

0001104659-14-075070

Insider Transaction Report

Form 4
Period: 2014-10-27
PROTEON THERAPEUTICS INCPRTO
Goll Alexandra
10% Owner
Transactions
  • Conversion

    Series A-1 Convertible Preferred Stock

    2014-10-27−2,092,735→ 0 total
    → Common Stock (160,779 underlying)
  • Conversion

    Series B Convertible Preferred Stock

    2014-10-27−2,436,618→ 0 total
    → Common Stock (189,063 underlying)
  • Conversion

    Series C Convertible Preferred Stock

    2014-10-27−2,331,391→ 0 total
    → Common Stock (180,898 underlying)
  • Conversion

    Series C Convertible Preferred Stock

    2014-10-27−799,043→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (61,999 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2014-10-27−3,727,823→ 0 total
    → Common Stock (234,897 underlying)
  • Other

    Option (Right to Purchase)

    2014-10-27−1,316,683→ 0 total
    → Series D Convertible Preferred Stock (82,966 underlying)
  • Conversion

    Common Stock

    2014-10-27+379,462→ 1,786,616 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Exercise of In-Money

    Common Stock

    2014-10-27$4.60/sh+39,932$183,779→ 1,943,059 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Series A Convertible Preferred Stock

    2014-10-27−4,468,482→ 0 total
    → Common Stock (335,680 underlying)
  • Conversion

    Series A-1 Convertible Preferred Stock

    2014-10-27−717,260→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (55,105 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2014-10-27−1,277,663→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (80,508 underlying)
  • Other

    Option (Right to Purchase)

    2014-10-27−451,276→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Series D Convertible Preferred Stock (28,455 underlying)
  • Conversion

    Common Stock

    2014-10-27+1,107,154→ 1,407,154 total
  • Purchase

    Common Stock

    2014-10-27$10.00/sh+223,410$2,234,100→ 223,410 total
  • Purchase

    Common Stock

    2014-10-27$10.00/sh+76,590$765,900→ 300,000 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Series B Convertible Preferred Stock

    2014-10-27−835,121→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (64,799 underlying)
  • Exercise of In-Money

    Warrants (Right to Buy)

    2014-10-27−39,932→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    Exercise: $4.60→ Common Stock (39,932 underlying)
  • Exercise of In-Money

    Common Stock

    2014-10-27$4.60/sh+116,511$536,219→ 1,903,127 total
  • Conversion

    Series A Convertible Preferred Stock

    2014-10-27−1,531,518→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (115,051 underlying)
  • Exercise of In-Money

    Warrants (Right to Buy)

    2014-10-27−116,511→ 0 total
    Exercise: $4.60→ Common Stock (116,511 underlying)
SCHUHSLER HELMUT
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-10-27$10.00/sh+223,410$2,234,100→ 223,410 total
  • Conversion

    Common Stock

    2014-10-27+1,107,154→ 1,407,154 total
  • Conversion

    Common Stock

    2014-10-27+379,462→ 1,786,616 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Series A Convertible Preferred Stock

    2014-10-27−4,468,482→ 0 total
    → Common Stock (335,680 underlying)
  • Conversion

    Series A-1 Convertible Preferred Stock

    2014-10-27−717,260→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (55,105 underlying)
  • Conversion

    Series B Convertible Preferred Stock

    2014-10-27−835,121→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (64,799 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2014-10-27−1,277,663→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (80,508 underlying)
  • Other

    Option (Right to Purchase)

    2014-10-27−451,276→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Series D Convertible Preferred Stock (28,455 underlying)
  • Purchase

    Common Stock

    2014-10-27$10.00/sh+76,590$765,900→ 300,000 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Series A Convertible Preferred Stock

    2014-10-27−1,531,518→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (115,051 underlying)
  • Exercise of In-Money

    Warrants (Right to Buy)

    2014-10-27−116,511→ 0 total
    Exercise: $4.60→ Common Stock (116,511 underlying)
  • Exercise of In-Money

    Common Stock

    2014-10-27$4.60/sh+116,511$536,219→ 1,903,127 total
  • Exercise of In-Money

    Common Stock

    2014-10-27$4.60/sh+39,932$183,779→ 1,943,059 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Series A-1 Convertible Preferred Stock

    2014-10-27−2,092,735→ 0 total
    → Common Stock (160,779 underlying)
  • Conversion

    Series B Convertible Preferred Stock

    2014-10-27−2,436,618→ 0 total
    → Common Stock (189,063 underlying)
  • Conversion

    Series C Convertible Preferred Stock

    2014-10-27−2,331,391→ 0 total
    → Common Stock (180,898 underlying)
  • Conversion

    Series C Convertible Preferred Stock

    2014-10-27−799,043→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (61,999 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2014-10-27−3,727,823→ 0 total
    → Common Stock (234,897 underlying)
  • Exercise of In-Money

    Warrants (Right to Buy)

    2014-10-27−39,932→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    Exercise: $4.60→ Common Stock (39,932 underlying)
  • Other

    Option (Right to Purchase)

    2014-10-27−1,316,683→ 0 total
    → Series D Convertible Preferred Stock (82,966 underlying)
TVM Life Science Ventures VI GmbH & Co KG
10% Owner
Transactions
  • Conversion

    Series B Convertible Preferred Stock

    2014-10-27−835,121→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (64,799 underlying)
  • Conversion

    Series C Convertible Preferred Stock

    2014-10-27−799,043→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (61,999 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2014-10-27−1,277,663→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (80,508 underlying)
  • Other

    Option (Right to Purchase)

    2014-10-27−1,316,683→ 0 total
    → Series D Convertible Preferred Stock (82,966 underlying)
  • Conversion

    Common Stock

    2014-10-27+379,462→ 1,786,616 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Exercise of In-Money

    Common Stock

    2014-10-27$4.60/sh+116,511$536,219→ 1,903,127 total
  • Purchase

    Common Stock

    2014-10-27$10.00/sh+223,410$2,234,100→ 223,410 total
  • Conversion

    Series A-1 Convertible Preferred Stock

    2014-10-27−2,092,735→ 0 total
    → Common Stock (160,779 underlying)
  • Conversion

    Series A-1 Convertible Preferred Stock

    2014-10-27−717,260→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (55,105 underlying)
  • Conversion

    Series B Convertible Preferred Stock

    2014-10-27−2,436,618→ 0 total
    → Common Stock (189,063 underlying)
  • Conversion

    Series C Convertible Preferred Stock

    2014-10-27−2,331,391→ 0 total
    → Common Stock (180,898 underlying)
  • Exercise of In-Money

    Warrants (Right to Buy)

    2014-10-27−116,511→ 0 total
    Exercise: $4.60→ Common Stock (116,511 underlying)
  • Exercise of In-Money

    Warrants (Right to Buy)

    2014-10-27−39,932→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    Exercise: $4.60→ Common Stock (39,932 underlying)
  • Other

    Option (Right to Purchase)

    2014-10-27−451,276→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Series D Convertible Preferred Stock (28,455 underlying)
  • Purchase

    Common Stock

    2014-10-27$10.00/sh+76,590$765,900→ 300,000 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Common Stock

    2014-10-27+1,107,154→ 1,407,154 total
  • Exercise of In-Money

    Common Stock

    2014-10-27$4.60/sh+39,932$183,779→ 1,943,059 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Series A Convertible Preferred Stock

    2014-10-27−4,468,482→ 0 total
    → Common Stock (335,680 underlying)
  • Conversion

    Series A Convertible Preferred Stock

    2014-10-27−1,531,518→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (115,051 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2014-10-27−3,727,823→ 0 total
    → Common Stock (234,897 underlying)
Fischer Stefan
10% Owner
Transactions
  • Exercise of In-Money

    Common Stock

    2014-10-27$4.60/sh+39,932$183,779→ 1,943,059 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Series A-1 Convertible Preferred Stock

    2014-10-27−717,260→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (55,105 underlying)
  • Exercise of In-Money

    Warrants (Right to Buy)

    2014-10-27−39,932→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    Exercise: $4.60→ Common Stock (39,932 underlying)
  • Other

    Option (Right to Purchase)

    2014-10-27−451,276→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Series D Convertible Preferred Stock (28,455 underlying)
  • Conversion

    Series C Convertible Preferred Stock

    2014-10-27−2,331,391→ 0 total
    → Common Stock (180,898 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2014-10-27−3,727,823→ 0 total
    → Common Stock (234,897 underlying)
  • Exercise of In-Money

    Warrants (Right to Buy)

    2014-10-27−116,511→ 0 total
    Exercise: $4.60→ Common Stock (116,511 underlying)
  • Conversion

    Series A-1 Convertible Preferred Stock

    2014-10-27−2,092,735→ 0 total
    → Common Stock (160,779 underlying)
  • Conversion

    Series C Convertible Preferred Stock

    2014-10-27−799,043→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (61,999 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2014-10-27−1,277,663→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (80,508 underlying)
  • Other

    Option (Right to Purchase)

    2014-10-27−1,316,683→ 0 total
    → Series D Convertible Preferred Stock (82,966 underlying)
  • Purchase

    Common Stock

    2014-10-27$10.00/sh+223,410$2,234,100→ 223,410 total
  • Purchase

    Common Stock

    2014-10-27$10.00/sh+76,590$765,900→ 300,000 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Common Stock

    2014-10-27+1,107,154→ 1,407,154 total
  • Conversion

    Common Stock

    2014-10-27+379,462→ 1,786,616 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Exercise of In-Money

    Common Stock

    2014-10-27$4.60/sh+116,511$536,219→ 1,903,127 total
  • Conversion

    Series A Convertible Preferred Stock

    2014-10-27−4,468,482→ 0 total
    → Common Stock (335,680 underlying)
  • Conversion

    Series A Convertible Preferred Stock

    2014-10-27−1,531,518→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (115,051 underlying)
  • Conversion

    Series B Convertible Preferred Stock

    2014-10-27−2,436,618→ 0 total
    → Common Stock (189,063 underlying)
  • Conversion

    Series B Convertible Preferred Stock

    2014-10-27−835,121→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (64,799 underlying)
TVM Life Science Ventures VI LP
10% Owner
Transactions
  • Conversion

    Common Stock

    2014-10-27+1,107,154→ 1,407,154 total
  • Exercise of In-Money

    Common Stock

    2014-10-27$4.60/sh+116,511$536,219→ 1,903,127 total
  • Conversion

    Series A Convertible Preferred Stock

    2014-10-27−1,531,518→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (115,051 underlying)
  • Exercise of In-Money

    Common Stock

    2014-10-27$4.60/sh+39,932$183,779→ 1,943,059 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Series A-1 Convertible Preferred Stock

    2014-10-27−2,092,735→ 0 total
    → Common Stock (160,779 underlying)
  • Conversion

    Series A-1 Convertible Preferred Stock

    2014-10-27−717,260→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (55,105 underlying)
  • Conversion

    Series B Convertible Preferred Stock

    2014-10-27−2,436,618→ 0 total
    → Common Stock (189,063 underlying)
  • Conversion

    Series C Convertible Preferred Stock

    2014-10-27−2,331,391→ 0 total
    → Common Stock (180,898 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2014-10-27−1,277,663→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (80,508 underlying)
  • Conversion

    Series A Convertible Preferred Stock

    2014-10-27−4,468,482→ 0 total
    → Common Stock (335,680 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2014-10-27−3,727,823→ 0 total
    → Common Stock (234,897 underlying)
  • Exercise of In-Money

    Warrants (Right to Buy)

    2014-10-27−116,511→ 0 total
    Exercise: $4.60→ Common Stock (116,511 underlying)
  • Exercise of In-Money

    Warrants (Right to Buy)

    2014-10-27−39,932→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    Exercise: $4.60→ Common Stock (39,932 underlying)
  • Purchase

    Common Stock

    2014-10-27$10.00/sh+223,410$2,234,100→ 223,410 total
  • Purchase

    Common Stock

    2014-10-27$10.00/sh+76,590$765,900→ 300,000 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Conversion

    Common Stock

    2014-10-27+379,462→ 1,786,616 total(indirect: By TVM Life Science Ventures VI, L.P.)
  • Other

    Option (Right to Purchase)

    2014-10-27−1,316,683→ 0 total
    → Series D Convertible Preferred Stock (82,966 underlying)
  • Conversion

    Series B Convertible Preferred Stock

    2014-10-27−835,121→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (64,799 underlying)
  • Conversion

    Series C Convertible Preferred Stock

    2014-10-27−799,043→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Common Stock (61,999 underlying)
  • Other

    Option (Right to Purchase)

    2014-10-27−451,276→ 0 total(indirect: By TVM Life Science Ventures VI, L.P.)
    → Series D Convertible Preferred Stock (28,455 underlying)
Footnotes (14)
  • [F1]These shares were purchased in connection with the Issuer's initial public offering of Common Stock.
  • [F10]Upon the closing of the Issuer's initial public offering, each share of Series D Convertible Preferred Stock automatically converted into Common Stock on a one-for-one basis (without payment of further consideration and with no expiration date) plus an additional 2,000 incremental shares as a result of an adjustment as provided for in the Company's certificate of incorporation.
  • [F11]Upon the closing the Issuer's initial public offering, TVM VI exercised their warrants with cash to purchase common stock.
  • [F12]Upon the closing the Issuer's initial public offering, TVM VI LP exercised their warrants with cash to purchase common stock.
  • [F13]TVM VI had a right to purchase shares of Series D Convertible Preferred Stock under the Series D Purchase Agreement at a price of $0.588656, which right to purchase ceased to be exercisable upon the initial filing of the Issuer's registration statement for its initial public offering, and terminated upon the completion of the Issuer's initial public offering of Common Stock. Each share of Series D Preferred Stock issuable upon exercise of the right to purchase would have been convertible into shares of the Issuer's common stock as described in footnote (9) above.
  • [F14]TVM VI LP had a right to purchase shares of Series D Convertible Preferred Stock under the Series D Purchase Agreement at a price of $0.588656, which right to purchase ceased to be exercisable upon the initial filing of the Issuer's registration statement for its initial public offering, and terminated upon the completion of the Issuer's initial public offering of Common Stock. Each share of Series D Preferred Stock issuable upon exercise of the right to purchase would have been convertible into shares of the Issuer's common stock as described in footnote (10) above.
  • [F2]The shares are directly held by TVM Life Science Ventures VI GMBH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Alexandra Goll ("Goll"), Helmut Schuhsler ("Schuhsler") and Stefan Fischer ("Fischer") 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. Fischer, Goll and Schuhsler each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any.
  • [F3]The shares are directly held by TVM Life Science Ventures VI L.P. ("TVM VI LP"). Birner, Goll, Schuhsler, Fischer and Polack 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, Fischer, Goll 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.
  • [F4]Upon the closing of the Issuer's initial public offering, each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1.19 basis without payment of further consideration and with no expiration date.
  • [F5]Reflects a 1-for-15.87 reverse stock split effected on October 6, 2014.
  • [F6]Upon the closing of the Issuer's initial public offering, each share of Series A-1 Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1.22 basis without payment of further consideration and has no expiration date.
  • [F7]Upon the closing of the Issuer's initial public offering, each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1.23 basis without payment of further consideration and has no expiration date.
  • [F8]Upon the closing of the Issuer's initial public offering, each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1.23 basis without payment of further consideration and has no expiration date.
  • [F9]Upon the closing of the Issuer's initial public offering, each share of Series D Convertible Preferred Stock automatically converted into Common Stock on a one-for-one basis (without payment of further consideration and with no expiration date) plus an additional 5,837 incremental shares as a result of an adjustment as provided for in the Company's certificate of incorporation.

Documents

1 file

Issuer

PROTEON THERAPEUTICS INC

CIK 0001359931

→
Entity typeoperating

Related Parties

1
  • filerCIK 0001359931

Filing Metadata

Form type
4
Filed
Oct 29, 8:00 PM ET
Accepted
Oct 30, 8:23 AM ET
Size
57.0 KB
View on SEC.gov