0001104659-14-075070.txt : 20141030
0001104659-14-075070.hdr.sgml : 20141030
20141030082341
ACCESSION NUMBER: 0001104659-14-075070
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141027
FILED AS OF DATE: 20141030
DATE AS OF CHANGE: 20141030
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: TVM Life Science Ventures VI LP
CENTRAL INDEX KEY: 0001318584
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36694
FILM NUMBER: 141181669
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: SCHUHSLER HELMUT
CENTRAL INDEX KEY: 0001133921
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36694
FILM NUMBER: 141181670
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: Goll Alexandra
CENTRAL INDEX KEY: 0001397372
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36694
FILM NUMBER: 141181671
MAIL ADDRESS:
STREET 1: 101 ARCH STREET
STREET 2: SUITE 1950
CITY: BOSTON
STATE: MA
ZIP: 02110
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fischer Stefan
CENTRAL INDEX KEY: 0001398596
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36694
FILM NUMBER: 141181672
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 GmbH & Co KG
CENTRAL INDEX KEY: 0001599744
STATE OF INCORPORATION: 2M
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36694
FILM NUMBER: 141181673
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
1
a4.xml
4
X0306
4
2014-10-27
0
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
0
0
1
0
0001398596
Fischer Stefan
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH
2M
80333
GERMANY
0
0
1
0
0001397372
Goll Alexandra
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
0001318584
TVM Life Science Ventures VI LP
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH
2M
80333
GERMANY
0
0
1
0
Common Stock
2014-10-27
4
P
0
223410
10.00
A
223410
D
Common Stock
2014-10-27
4
P
0
76590
10.00
A
300000
I
By TVM Life Science Ventures VI, L.P.
Common Stock
2014-10-27
4
C
0
1107154
A
1407154
D
Common Stock
2014-10-27
4
C
0
379462
A
1786616
I
By TVM Life Science Ventures VI, L.P.
Common Stock
2014-10-27
4
X
0
116511
4.6023
A
1903127
D
Common Stock
2014-10-27
4
X
0
39932
4.6023
A
1943059
I
By TVM Life Science Ventures VI, L.P.
Series A Convertible Preferred Stock
2014-10-27
4
C
0
4468482
0
D
Common Stock
335680
0
D
Series A Convertible Preferred Stock
2014-10-27
4
C
0
1531518
0
D
Common Stock
115051
0
I
By TVM Life Science Ventures VI, L.P.
Series A-1 Convertible Preferred Stock
2014-10-27
4
C
0
2092735
0
D
Common Stock
160779
0
D
Series A-1 Convertible Preferred Stock
2014-10-27
4
C
0
717260
0
D
Common Stock
55105
0
I
By TVM Life Science Ventures VI, L.P.
Series B Convertible Preferred Stock
2014-10-27
4
C
0
2436618
0
D
Common Stock
189063
0
D
Series B Convertible Preferred Stock
2014-10-27
4
C
0
835121
0
D
Common Stock
64799
0
I
By TVM Life Science Ventures VI, L.P.
Series C Convertible Preferred Stock
2014-10-27
4
C
0
2331391
0
D
Common Stock
180898
0
D
Series C Convertible Preferred Stock
2014-10-27
4
C
0
799043
0
D
Common Stock
61999
0
I
By TVM Life Science Ventures VI, L.P.
Series D Convertible Preferred Stock
2014-10-27
4
C
0
3727823
0
D
Common Stock
234897
0
D
Series D Convertible Preferred Stock
2014-10-27
4
C
0
1277663
0
D
Common Stock
80508
0
I
By TVM Life Science Ventures VI, L.P.
Warrants (Right to Buy)
4.6023
2014-10-27
4
X
0
116511
0
D
Common Stock
116511
0
D
Warrants (Right to Buy)
4.6023
2014-10-27
4
X
0
39932
0
D
Common Stock
39932
0
I
By TVM Life Science Ventures VI, L.P.
Option (Right to Purchase)
2014-10-27
4
J
0
1316683
D
Series D Convertible Preferred Stock
82966
0
D
Option (Right to Purchase)
2014-10-27
4
J
0
451276
D
Series D Convertible Preferred Stock
28455
0
I
By TVM Life Science Ventures VI, L.P.
These shares were purchased in connection with the Issuer's initial public offering of Common Stock.
The shares are directly held by TVM Life Science Ventures VI GMBH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Alexandra Goll ("Goll"), Helmut Schuhsler ("Schuhsler") and Stefan Fischer ("Fischer") are members of the investment committee of TVM Life Science Ventures 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. Fischer, Goll and Schuhsler each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any.
The shares are directly held by TVM Life Science Ventures VI L.P. ("TVM VI LP"). Birner, Goll, Schuhsler, Fischer and Polack are members of the investment committee of TVM VI Management, a special limited partner of TVM VI LP, with voting and dispositive power over the shares held by TVM VI LP. TVM VI Management, Fischer, Goll and Schuhsler each disclaim beneficial ownership of the shares held by TVM VI LP, except to the extent of any pecuniary interest therein, if any.
Upon the closing of the Issuer's initial public offering, each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1.19 basis without payment of further consideration and with no expiration date.
Reflects a 1-for-15.87 reverse stock split effected on October 6, 2014.
Upon the closing of the Issuer's initial public offering, each share of Series A-1 Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1.22 basis without payment of further consideration and has no expiration date.
Upon the closing of the Issuer's initial public offering, each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1.23 basis without payment of further consideration and has no expiration date.
Upon the closing of the Issuer's initial public offering, each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1.23 basis without payment of further consideration and has no expiration date.
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 5,837 incremental shares as a result of an adjustment as provided for in the Company's certificate of incorporation.
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 2,000 incremental shares as a result of an adjustment as provided for in the Company's certificate of incorporation.
Upon the closing the Issuer's initial public offering, TVM VI exercised their warrants with cash to purchase common stock.
Upon the closing the Issuer's initial public offering, TVM VI LP exercised their warrants with cash to purchase common stock.
TVM VI 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 (9) above.
TVM VI LP 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 (10) above.
TVM Life Science Ventures VI GMBH & Co. KG /s/ Josef Moosholzer, Treasurer of Techno Ventures Management LLC, general partner of TVM Life Science Ventures Management VI L.P., managing limited partner of TVM Life Science Ventures VI GMBH & Co. KG
2014-10-29
TVM Life Science Ventures VI L.P /s/ Josef Moosholzer, Treasurer of Techno Ventures Management LLC, general partner of TVM Life Science Ventures Management VI L.P., managing limited partner of TVM Life Science Ventures VI L.P
2014-10-29
/s/ Rolf Starck by power of attorney for Stefan Fischer
2014-10-29
/s/ Rolf Starck by power of attorney for Alexandra Goll
2014-10-29
/s/ Rolf Starck by power of attorney for Helmut Schuhsler
2014-10-29