0001012975-17-000502.txt : 20170630 0001012975-17-000502.hdr.sgml : 20170630 20170630135125 ACCESSION NUMBER: 0001012975-17-000502 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170622 FILED AS OF DATE: 20170630 DATE AS OF CHANGE: 20170630 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: SCHUHSLER HELMUT CENTRAL INDEX KEY: 0001133921 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 17941473 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: Fischer Stefan CENTRAL INDEX KEY: 0001398596 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 17941474 MAIL ADDRESS: STREET 1: MAXIMILIANSTRASSE 35/EINGANG C CITY: MUNCHEN STATE: 2M ZIP: 80539 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Birner Hubert CENTRAL INDEX KEY: 0001398598 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 17941475 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 17941476 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 17941477 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/A 1 edgar.xml PRIMARY DOCUMENT X0306 4/A 2017-06-22 2017-06-26 0001359931 PROTEON THERAPEUTICS INC PRTO 0001599744 TVM Life Science Ventures VI GmbH & Co KG C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 1 0 1 0 0001318584 TVM Life Science Ventures VI LP C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 1 0 1 0 0001398598 Birner Hubert C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 1 0 1 0 0001398596 Fischer Stefan C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 0 0 1 0 0001133921 SCHUHSLER HELMUT C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 0 0 1 0 Series A Convertible Preferred Stock .9949 2017-06-22 4 P 0 372 1000.00 A Common Stock, $0.001 par value 373907 500 D This amendment to the original Form 4 does not amend any item originally reported in Table II and the first line item of Table II is restated in this amendment for the sole purpose of gaining access to the electronic filing system; footnotes relating to such first line item are included for completeness and have not been amended. This amendment is made by the Reporting Persons solely to include the power of attorney attached hereto as Exhibit 24. 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 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, $0.01 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. /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 2017-06-30 /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. 2017-06-30 /s/ Stefan Fischer, by power of attorney for Hubert Birner 2017-06-30 /s/ Stefan Fischer 2017-06-30 /s/ Stefan Fischer, by power of attorney for Helmut Schuhsler 2017-06-30 EX-24 2 tvmpoa.htm POWER OF ATTORNEY


POWER OF ATTORNEY



 KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby

constitutes and appoints Josef Moosholzer, Stefan Fischer and Sascha Berger, and each of

them, with full power to act without the others, his or her true and lawful attorney-in-fact,

with full power of substitution, to sign any and all instruments, certificates and documents

that may be necessary, desirable or appropriate to be executed on behalf of himself as an

individual or in his or her capacity as a direct or indirect general partner, director, officer or

manager of any partnership, corporation or limited liability company, pursuant to section 13

or 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and any

and all regulations promulgated thereunder, and to file the same, with all exhibits thereto,

and any other documents in connection therewith, with the Securities and Exchange

Commission, and with any other entity when and if such is mandated by the Exchange Act

or by the Financial Industry Regulatory Authority, granting unto said attorney-in-fact full

power and authority to do and perform each and every act and thing necessary, desirable or

appropriate, fully to all intents and purposes as he or she might or could do in person,

thereby ratifying and confirming all that said attorney-in-fact, or his or her substitutes, may

lawfully do or cause to be done by virtue hereof.



IN WITNESS WHEREOF, this Power of Attorney has been signed as of

 the 29th day of June, 2017.





/s/ Hubert Birner

Hubert Birner



/s/ Stefan Fischer

Stefan Fischer



/s/ Helmut Schuhsler

Helmut Schuhsler











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