0000905718-17-000624.txt : 20170626
0000905718-17-000624.hdr.sgml : 20170626
20170626163107
ACCESSION NUMBER: 0000905718-17-000624
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: Haines Timothy
CENTRAL INDEX KEY: 0001526068
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36694
FILM NUMBER: 17930160
MAIL ADDRESS:
STREET 1: 38 JERMYN STREET
CITY: LONDON
STATE: X0
ZIP: SW1Y 6DN
4
1
haines_fm4jun222017.xml
OWNERSHIP DOCUMENT
X0306
4
2017-06-22
0
0001359931
PROTEON THERAPEUTICS INC
PRTO
0001526068
Haines Timothy
C/O ABINGWORTH LLP
38 JERMYN STREET
LONDON
X0
SW1Y 6DN
UNITED KINGDOM
1
0
1
0
Series A Convertible Preferred Stock
0.9949
2017-06-22
4
P
0
2526
1000
A
2017-06-22
Common Stock, $0.001 par value
2538949
2526
I
By Abingworth Bioventures VI, LP
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 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 held by Abingworth Bioventures VI, LP ("Abingworth"). Abingworth Bioventures VI GP LP ("Abingworth GP") serves as the general partner of Abingworth. Abingworth General Partner VI LLP, serves as the general partner of Abingworth GP. Abingworth (acting by its general partner Abingworth GP, acting by its general partner Abingworth General Partner VI LLP) has delegated to Abingworth LLP, all investment and dispositive power over the securities held by Abingworth. The reporting person is a member of the investment committee of Abingworth LLP, which approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the shares held by Abingworth. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
This report shall not be deemed an admission that the reporting person, Abingworth 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 Timothy Haines
2017-06-26