0001171843-16-010662.txt : 20160614 0001171843-16-010662.hdr.sgml : 20160614 20160614171136 ACCESSION NUMBER: 0001171843-16-010662 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160609 FILED AS OF DATE: 20160614 DATE AS OF CHANGE: 20160614 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: 161713728 MAIL ADDRESS: STREET 1: 38 JERMYN STREET CITY: LONDON STATE: X0 ZIP: SW1Y 6DN 4 1 formfour.xml OWNERSHIP DOCUMENT X0306 4 2016-06-09 0 0001359931 PROTEON THERAPEUTICS INC PRTO 0001526068 Haines Timothy C/O ABINGWORTH LLP 38 JERMYN STREET LONDON X0 SWIY 6DN UNITED KINGDOM 1 0 1 0 Stock Option (Right to Buy) 5.90 2016-06-09 4 A 0 6666 0 A 2026-06-08 Common Stock, $0.001 par value 6666 6666 D Timothy Haines (the "Reporting Person") was granted options to purchase shares of common stock under in accordance with the Issuer's S-1 Registration Statement in consideration of his services as a director of the Issuer (the "Options"). The Options were granted on June 9, 2016 and the shares underlying the Options will vest 100% at the earlier of (i) June 9, 2017 and (ii) the Issuer's next annual meeting of stockholders. The Reporting Person is a member of Abingworth LLP ("ALLP"). ALLP provides advisory services to Abingworth Bioventures VI, LP ("ABV VI"). Under an agreement between the Reporting Person and ALLP, the Reporting Person is deemed to hold the Options and any shares of common stock issuable upon exercise of the Options, for the benefit of ABV VI, and must exercise the Options solely upon the direction of ALLP. ABV VI may be deemed the indirect beneficial owner of the Options, and the Reporting Person may be deemed the indirect beneficial owner of the Options through his indirect interest in ABV VI. The Reporting Person disclaims beneficial ownership of the Options except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed an admission that the Reporting Person, ALLP, ABV VI 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. /s/ George A. Eldridge as attorney-in-fact for Timothy Haines 2016-06-14