0001171843-19-007468.txt : 20191112 0001171843-19-007468.hdr.sgml : 20191112 20191112170027 ACCESSION NUMBER: 0001171843-19-007468 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191108 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Freund John Gordon CENTRAL INDEX KEY: 0001296771 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 191210560 MAIL ADDRESS: STREET 1: 125 UNIVERSITY AVE. STREET 2: C/O SKYLINE VENTURES CITY: PALO ALTO STATE: CA ZIP: 94301 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 4 1 ownership.xml X0306 4 2019-11-08 0 0001359931 PROTEON THERAPEUTICS INC PRTO 0001296771 Freund John Gordon SKYLINE VENTURES 525 UNIVERSITY AVENUE, SUITE 1350 PALO ALTO CA 94301 1 0 0 0 Common Stock 2019-11-08 4 C 0 703588 0.9949 A 2175882 D Series A Convertible Preferred Stock 0.9949 2019-11-08 4 C 0 700 D Common Stock 703588 354 I See footnote The shares of Series A Convertible Preferred Stock (the "Series A Stock") are exercisable at any time 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 and 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. On November 8, 2019, Skyline Venture Partners Qualified Purchaser Fund IV, LP. ("Skyline") converted 700 shares of Series A Stock, resulting in the issuance to Skyline of 703,558588 shares of Common Stock. The reporting person is a Managing Director of Skyline Venture Management IV, LLC, the sole general partner of Skyline, and may be deemed to share voting and dispositive power over the shares held by Skyline. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. /s/ George A. Eldridge as attorney-in-fact for John Freund 2019-11-12