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