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