Protagonist Therapeutics, Inc 4

Accession 0001209191-16-137314

$PTGXCIK 0001377121operating

Filed

Aug 15, 8:00 PM ET

Accepted

Aug 16, 6:19 PM ET

Size

22.8 KB

Accession

0001209191-16-137314

Form 4

Period: 2016-08-16

10% Owner

Transactions

Conversion
Common Stock
2016-08-16+630,541→ 837,437 total(indirect: By Fund)
Conversion
Series B Preferred Stock
2016-08-16−9,142,857→ 0 total(indirect: By Fund)
→ Common Stock (630,541 underlying)
Conversion
Common Stock
2016-08-16+206,896→ 206,896 total(indirect: By Fund)
Conversion
Common Stock
2016-08-16+678,712→ 1,516,149 total(indirect: By Fund)
Purchase
Common Stock
2016-08-16$12.00/sh+583,333$6,999,996→ 2,099,482 total(indirect: By Fund)
Conversion
Series A Preferred Stock
2016-08-16−3,000,000→ 0 total(indirect: By Fund)
→ Common Stock (206,896 underlying)
Conversion
Series C Preferred Stock
2016-08-16−9,841,333→ 0 total(indirect: By Fund)
→ Common Stock (678,712 underlying)

10% Owner

Transactions

Conversion
Common Stock
2016-08-16+678,712→ 1,516,149 total(indirect: By Fund)
Conversion
Series C Preferred Stock
2016-08-16−9,841,333→ 0 total(indirect: By Fund)
→ Common Stock (678,712 underlying)
Conversion
Common Stock
2016-08-16+630,541→ 837,437 total(indirect: By Fund)
Conversion
Series B Preferred Stock
2016-08-16−9,142,857→ 0 total(indirect: By Fund)
→ Common Stock (630,541 underlying)
Conversion
Common Stock
2016-08-16+206,896→ 206,896 total(indirect: By Fund)
Conversion
Series A Preferred Stock
2016-08-16−3,000,000→ 0 total(indirect: By Fund)
→ Common Stock (206,896 underlying)
Purchase
Common Stock
2016-08-16$12.00/sh+583,333$6,999,996→ 2,099,482 total(indirect: By Fund)

10% Owner

Transactions

Conversion
Series A Preferred Stock
2016-08-16−3,000,000→ 0 total(indirect: By Fund)
→ Common Stock (206,896 underlying)
Conversion
Series C Preferred Stock
2016-08-16−9,841,333→ 0 total(indirect: By Fund)
→ Common Stock (678,712 underlying)
Conversion
Common Stock
2016-08-16+206,896→ 206,896 total(indirect: By Fund)
Conversion
Common Stock
2016-08-16+678,712→ 1,516,149 total(indirect: By Fund)
Conversion
Common Stock
2016-08-16+630,541→ 837,437 total(indirect: By Fund)
Purchase
Common Stock
2016-08-16$12.00/sh+583,333$6,999,996→ 2,099,482 total(indirect: By Fund)
Conversion
Series B Preferred Stock
2016-08-16−9,142,857→ 0 total(indirect: By Fund)
→ Common Stock (630,541 underlying)

10% Owner

Transactions

Purchase
Common Stock
2016-08-16$12.00/sh+583,333$6,999,996→ 2,099,482 total(indirect: By Fund)
Conversion
Common Stock
2016-08-16+630,541→ 837,437 total(indirect: By Fund)
Conversion
Series C Preferred Stock
2016-08-16−9,841,333→ 0 total(indirect: By Fund)
→ Common Stock (678,712 underlying)
Conversion
Common Stock
2016-08-16+678,712→ 1,516,149 total(indirect: By Fund)
Conversion
Common Stock
2016-08-16+206,896→ 206,896 total(indirect: By Fund)
Conversion
Series A Preferred Stock
2016-08-16−3,000,000→ 0 total(indirect: By Fund)
→ Common Stock (206,896 underlying)
Conversion
Series B Preferred Stock
2016-08-16−9,142,857→ 0 total(indirect: By Fund)
→ Common Stock (630,541 underlying)

Footnotes (2)

[F1]Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock, and Series C Preferred Stock automatically converted into the Issuer's common stock on a 1-for-14.5 basis at the closing of the Issuer's initial public offering and had no expiration date.
[F2]These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Steve Hall and Armen Shanafelt. Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of his or its respective proportionate pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.

Documents

1 file

Protagonist Therapeutics, Inc

CIK 0001377121

Entity typeoperating

IncorporatedDE