0001012975-14-000687.txt : 20141029
0001012975-14-000687.hdr.sgml : 20141029
20141029165642
ACCESSION NUMBER: 0001012975-14-000687
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141027
FILED AS OF DATE: 20141029
DATE AS OF CHANGE: 20141029
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: O'Leary Brendan
CENTRAL INDEX KEY: 0001500269
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36694
FILM NUMBER: 141180761
MAIL ADDRESS:
STREET 1: C/O PRISM VENTURES PARTNERS V, L.P.
STREET 2: 117 KENDRICK STREET, SUITE 200
CITY: NEEDHAM
STATE: MA
ZIP: 02494
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-10-27
0001359931
PROTEON THERAPEUTICS INC
PRTO
0001500269
O'Leary Brendan
C/O PRISM VENTURE PARTNERS
75 SECOND AVENUE, SUITE 210
NEEDHAM
MA
02494
1
0
0
0
Common Stock
2014-10-27
4
C
0
374921
A
374921
I
See footnote
Common Stock
2014-10-27
4
C
0
180014
A
554935
I
See footnote
Common Stock
2014-10-27
4
C
0
181125
A
736060
I
See footnote
Common Stock
2014-10-27
4
C
0
192070
A
928130
I
See footnote
Common Stock
2014-10-27
4
C
0
252052
A
1180182
I
See footnote
Common Stock
2014-10-27
4
C
0
123846
A
1304028
I
See footnote
Common Stock
2014-10-27
4
P
0
83170
10.00
A
1387198
I
See footnote
Series A Convertible Preferred Stock
2014-10-27
4
C
0
5000000
0
D
Common Stock
374921
0
I
See footnote
Series A-1 Convertible Preferred Stock
2014-10-27
4
C
0
2341664
0
D
Common Stock
180014
0
I
See footnote
Series B Convertible Preferred Stock
2014-10-27
4
C
0
2336956
0
D
Common Stock
181125
0
I
See footnote
Series C Convertible Preferred Stock
2014-10-27
4
C
0
2478183
0
D
Common Stock
192070
0
I
See footnote
Series D Convertible Preferred Stock
2014-10-27
4
C
0
4000070
0
D
Common Stock
252052
0
I
See footnote
Common Stock Warrants
2014-10-27
4
D
0
1965454
0
D
Common Stock
123846
0
I
See footnote
The Series A Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.19 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
The Series A-1 Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.22 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
The Series B Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.23 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
The Series C Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.23 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
The Series D Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
The Common Stock Warrants were exercised as a disposition to the Issuer and converted to shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
Consists of securities held directly by Prism Venture Partners V, L.P. ("PVP V") and Prism Venture Partners V-A, L.P. ("PVP V-A"). Prism Investment Partners V, L.P. ("PIP V") is the sole general partner of PVP V and PVP V-A. Prism Venture Partners V, LLC ("PVP LLC") is the sole general partner of PIP V. Brendan O'Leary ("O'Leary") is a member of PVP LLC. O'Leary may be deemed to beneficially own the shares held by PVP V and PVP V-A, but O'Leary disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
/s/ Dina Ciarimboli as attorney in fact for Brendan O'Leary
2014-10-29