0001104659-14-074934.txt : 20141029
0001104659-14-074934.hdr.sgml : 20141029
20141029183809
ACCESSION NUMBER: 0001104659-14-074934
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: Haines Timothy
CENTRAL INDEX KEY: 0001526068
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36694
FILM NUMBER: 141181194
MAIL ADDRESS:
STREET 1: 38 JERMYN STREET
CITY: LONDON
STATE: X0
ZIP: SW1Y 6DN
4
1
a4.xml
4
X0306
4
2014-10-27
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
Common Stock
2014-10-27
4
P
0
950000
10.00
A
950000
I
By Abingworth Bioventures VI, LP
Common Stock
2014-10-27
4
C
0
1067872
A
2017872
I
By Abingworth Bioventures VI, LP
Series D Convertible Preferred Stock
2014-10-27
4
C
0
16044081
D
Common Stock
1010969
0
I
By Abingworth Bioventures VI, LP
Option (Right to Purchase)
2014-10-27
4
J
0
12835264
D
Series D Convertible Preferred Stock
808775
0
I
By Abingworth Bioventures VI, LP
These shares were purchased in connection with the Issuer's initial public offering of Common Stock.
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.
Upon the closing of the Issuer's initial public offering, each share of Series D Convertible Preferred Stock automatically converted into Common Stock on a one-for-one basis (without payment of further consideration and with no expiration date) plus an additional 56,903 incremental shares as a result of an adjustment as provided for in the Company's certificate of incorporation.
Reflects a 1-for-15.87 reverse stock split effected on October 6, 2014.
Abingworth had a right to purchase shares of Series D Convertible Preferred Stock under the Series D Purchase Agreement at a price of $0.588656, which right to purchase ceased to be exercisable upon the initial filing of the Issuer's registration statement for its initial public offering, and terminated upon the completion of the Issuer's initial public offering of Common Stock. Each share of Series D Preferred Stock issuable upon exercise of the right to purchase would have been convertible into shares of the Issuer's common stock as described in footnote (3) above.
/s/ George Eldridge, attorney-in-fact
2014-10-28