0000899243-17-017250.txt : 20170626 0000899243-17-017250.hdr.sgml : 20170626 20170626180638 ACCESSION NUMBER: 0000899243-17-017250 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170622 FILED AS OF DATE: 20170626 DATE AS OF CHANGE: 20170626 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PROTEON THERAPEUTICS INC CENTRAL INDEX KEY: 0001359931 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781-890-0102 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: WALTHAM STATE: MA ZIP: 02451 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fischer Stefan CENTRAL INDEX KEY: 0001398596 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 17930780 MAIL ADDRESS: STREET 1: MAXIMILIANSTRASSE 35/EINGANG C CITY: MUNCHEN STATE: 2M ZIP: 80539 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHUHSLER HELMUT CENTRAL INDEX KEY: 0001133921 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 17930781 MAIL ADDRESS: STREET 1: C/O TVM TECHNO VENTURE MANAGEMENT STREET 2: MAXIMILLIANSTR. 35, ENTRACE C D- CITY: MUNICH STATE: 2M ZIP: 80539 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Birner Hubert CENTRAL INDEX KEY: 0001398598 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 17930782 MAIL ADDRESS: STREET 1: MAXIMILIANSTRASSE 35/EINGANG C CITY: MUNCHEN STATE: 2M ZIP: 80539 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TVM Life Science Ventures VI LP CENTRAL INDEX KEY: 0001318584 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 17930783 BUSINESS ADDRESS: STREET 1: PO BOX 309 UGLAND HOUSE CITY: CAYMAN ISLAND STATE: A1 ZIP: 00000 MAIL ADDRESS: STREET 1: PO BOX 309 UGLAND HOUSE CITY: CAYMAN ISLAND STATE: A1 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TVM Life Science Ventures VI GmbH & Co KG CENTRAL INDEX KEY: 0001599744 STATE OF INCORPORATION: 2M FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 17930784 BUSINESS ADDRESS: STREET 1: C/O TVM CAPITAL GROUP STREET 2: OTTOSTRASSE 4 CITY: MUNICH STATE: 2M ZIP: 80333 BUSINESS PHONE: 49 89 998 992-0 MAIL ADDRESS: STREET 1: C/O TVM CAPITAL GROUP STREET 2: OTTOSTRASSE 4 CITY: MUNICH STATE: 2M ZIP: 80333 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-06-22 0 0001359931 PROTEON THERAPEUTICS INC PRTO 0001599744 TVM Life Science Ventures VI GmbH & Co KG C/O TVM CAPITAL GMBH OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 0 0 1 0 0001318584 TVM Life Science Ventures VI LP C/O TVM CAPITAL GMBH OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 0 0 1 0 0001398598 Birner Hubert C/O TVM CAPITAL GMBH OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 1 0 1 0 0001398596 Fischer Stefan C/O TVM CAPITAL GMBH OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 0 0 1 0 0001133921 SCHUHSLER HELMUT C/O TVM CAPITAL GMBH OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 0 0 1 0 Series A Convertible Preferred Stock 0.9949 2017-06-22 4 P 0 372 1000.00 A Common Stock, $0.001 par value 373907 500 D Series A Convertible Preferred Stock 0.9949 2017-06-22 4 P 0 128 1000.00 A Common Stock, $0.001 par value 128656 500 D The shares are directly held by TVM Life Science Ventures VI GMBH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), and Helmut Schuhsler ("Schuhsler") 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. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any. Birner is a director of the issuer. 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. The Series A Stock has no expiration date. The certificate of designations for 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. The shares are directly held by TVM Life Science Ventures VI L.P. ("TVM VI LP"). Birner, Fischer and Schuhsler 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, Birner, Fischer 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. TVM Life Science Ventures VI GMBH & Co. KG /s/ Stefan Fischer, Director of TVM Life Science Ventures VI LLC, general partner of TVM Life Science Ventures Management VI L.P., managing limited partner of TVM Life Science Ventures VI GMBH & Co. KG 2017-06-26 TVM Life Science Ventures VI L.P /s/ Stefan Fischer, Director of TVM Life Science Ventures VI LLC, general partner of TVM Life Science Ventures Management VI L.P., managing limited partner of TVM Life Science Ventures VI L.P. 2017-06-26 /s/ Stefan Fischer by power of attorney for Hubert Birner 2017-06-26 /s/ Stefan Fischer 2017-06-26 /s/ Stefan Fischer by power of attorney for Helmut Schuhsler 2017-06-26