0001104659-23-067690.txt : 20230602
0001104659-23-067690.hdr.sgml : 20230602
20230602195046
ACCESSION NUMBER: 0001104659-23-067690
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230531
FILED AS OF DATE: 20230602
DATE AS OF CHANGE: 20230602
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PATEL DINESH V PH D
CENTRAL INDEX KEY: 0001120477
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37852
FILM NUMBER: 23990902
MAIL ADDRESS:
STREET 1: C/O PROTAGONIST THERAPEUTICS, INC.
STREET 2: 521 COTTONWOOD DRIVE, SUITE 100
CITY: MILPITAS
STATE: CA
ZIP: 95035
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Protagonist Therapeutics, Inc
CENTRAL INDEX KEY: 0001377121
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 980505495
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 7707 GATEWAY BLVD., SUITE 140
CITY: NEWARK
STATE: CA
ZIP: 94560-1160
BUSINESS PHONE: (510) 474-0170
MAIL ADDRESS:
STREET 1: 7707 GATEWAY BLVD., SUITE 140
CITY: NEWARK
STATE: CA
ZIP: 94560-1160
FORMER COMPANY:
FORMER CONFORMED NAME: Protagonist Therapeutics Inc
DATE OF NAME CHANGE: 20130605
FORMER COMPANY:
FORMER CONFORMED NAME: Protagonist Inc
DATE OF NAME CHANGE: 20061002
4
1
tm2317724-2_4seq1.xml
OWNERSHIP DOCUMENT
X0407
4
2023-05-31
0
0001377121
Protagonist Therapeutics, Inc
PTGX
0001120477
PATEL DINESH V PH D
C/O PROTAGONIST THERAPEUTICS, INC.
7707 GATEWAY BLVD., SUITE 140
NEWARK
CA
94560-1160
1
1
0
0
President and CEO
0
Common Stock
2023-02-22
5
G
0
E
10000
0.00
D
583448
D
Common Stock
2023-05-31
4
A
0
30000
0
A
615111
D
Common Stock
2023-05-31
4
F
0
12165
26.07
D
602946
D
The shares of common stock reported on this Form 4 are subject to a lock-up agreement between the reporting person and J.P. Morgan Securities LLC, Jefferies LLC and Piper Sandler & Co., dated April 4, 2023 (the "Lock-up Date") pursuant to which the shares of common stock reported herein cannot be sold for 60 days following the Lock-up Date.
Represents settlement by the Issuer of performance stock units ("PSUs") granted to the Reporting Person under the Company's 2016 Equity Incentive Plan on May 31, 2022, which vested based on the Issuer's achievement of corporate performance objectives.
Includes an aggregate of 1,663 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2023.
Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of PSUs.
/s/ Matthew Gosling, Attorney-in-Fact for Dinesh V. Patel, Ph.D.
2023-06-02