0001104659-14-074840.txt : 20141029 0001104659-14-074840.hdr.sgml : 20141029 20141029161609 ACCESSION NUMBER: 0001104659-14-074840 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141021 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: Burke Steven Keith CENTRAL INDEX KEY: 0001619834 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 141180385 MAIL ADDRESS: STREET 1: 82 WILLIS ROAD CITY: SUDBURY STATE: MA ZIP: 01776 3/A 1 a3a.xml 3/A X0206 3/A 2014-10-21 2014-10-21 0 0001359931 PROTEON THERAPEUTICS INC PRTO 0001619834 Burke Steven Keith C/O PROTEON THERAPEUTICS 200 WEST STREET WALTHAM MA 02451 0 1 0 0 SVP and Chief Medical Officer Common Stock 30411 D Stock Option (Right to Buy) 2.39 2017-09-10 Common Stock 12287 D Stock Option (Right to Buy) 3.18 2019-06-19 Common Stock 14898 D Stock Option (Right to Buy) 1.27 2021-10-26 Common Stock 57934 D Stock Option (Right to Buy) 4.92 2024-06-23 Common Stock 71218 D Stock Option (Right to Buy) 4.92 2024-06-23 Common Stock 10696 D Reflects a 1-for-15.87 reverse stock split effected on October 6, 2014. The shares underlying these options are fully vested. This option is fully exercisable prior to its vesting, subject to a repurchase right held by the Issuer on the shares underlying this option that lapses (based on the original option vesting schedule) in equal quarterly installments over four years. This option is fully exercisable prior to its vesting, subject to a repurchase right held by the Issuer on the shares underlying this option that lapses (based on the original option vesting schedule) 25% on the first anniversary of the grant date and the remaining shares in equal quarterly installments over the next three years. /s/ Steven K. Burke 2014-10-28