0001171843-18-004988.txt : 20180703 0001171843-18-004988.hdr.sgml : 20180703 20180703081917 ACCESSION NUMBER: 0001171843-18-004988 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180629 FILED AS OF DATE: 20180703 DATE AS OF CHANGE: 20180703 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: 18934737 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 formfour.xml X0306 4 2018-06-29 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 2018-06-29 5 A 0 E 10000 1.615 D 121469 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 January 1, 2018 through June 30, 2018 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 2018-07-03