0001171843-18-000081.txt : 20180103 0001171843-18-000081.hdr.sgml : 20180103 20180103081539 ACCESSION NUMBER: 0001171843-18-000081 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171229 FILED AS OF DATE: 20180103 DATE AS OF CHANGE: 20180103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Burke Steven Keith CENTRAL INDEX KEY: 0001619834 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 18503395 MAIL ADDRESS: STREET 1: 82 WILLIS ROAD CITY: SUDBURY STATE: MA ZIP: 01776 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 4 1 form4burke.xml OWNERSHIP DOCUMENT X0306 4 2017-12-29 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 2017-12-29 5 A 0 E 3934 1.296 D 111469 D Common Stock 11666 I See footnote The shares were acquired under the Issuer's 2014 Employee Stock Purchase Plan for the plan period of July 1, 2017 through December 31, 2017 in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). These securities involved a gift of securities by the reporting person to the Steven Edward Burke Irrevocable Trust u/a 11/15/2000 and the Timothy Andrew Burke Irrevocable Trust u/a 12/28/1998, both of which are irrevocable trusts established by the reporting person for the benefit of his sons who are deemed to share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his sons, and this report should not be deemed an admission that the reporting person is the beneficial owner of his sons' shares for purposes of Section 16 or for any other purpose. /s/ George A. Eldridge as attorney-in-fact for Steven Keith Burke 2018-01-03