0001209191-20-003223.txt : 20200113 0001209191-20-003223.hdr.sgml : 20200113 20200113185744 ACCESSION NUMBER: 0001209191-20-003223 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200109 FILED AS OF DATE: 20200113 DATE AS OF CHANGE: 20200113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shefferman Jesse CENTRAL INDEX KEY: 0001799167 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 20524684 MAIL ADDRESS: STREET 1: C/O ARTARA THERAPEUTICS,INC. STREET 2: 1 LITTLE WEST 12TH STREET CITY: NEW YORK STATE: NY ZIP: 10014 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ArTara 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: 1 LITTLE WEST 12TH STREET CITY: NEW YORK STATE: NY ZIP: 10014 BUSINESS PHONE: 646-844-0337 MAIL ADDRESS: STREET 1: 1 LITTLE WEST 12TH STREET CITY: NEW YORK STATE: NY ZIP: 10014 FORMER COMPANY: FORMER CONFORMED NAME: PROTEON THERAPEUTICS INC DATE OF NAME CHANGE: 20060420 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-01-09 0 0001359931 ArTara Therapeutics, Inc. TARA 0001799167 Shefferman Jesse C/O ARTARA THERAPEUTICS, INC. 1 LITTLE WEST 12TH STREET NEW YORK NY 10014 1 1 0 0 CEO and President Common Stock 2020-01-09 4 A 0 790274 A 790274 D Common Stock 2020-01-10 4 A 0 50000 0.00 A 840274 D Stock Option (Right to Buy) 31.50 2020-01-10 4 A 0 111250 0.00 A 2030-01-09 Common Stock 111250 111250 D On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer. These shares were received in exchange for i) 4,000,000 shares of ArTara Sub Common Stock; and ii) 142,857 shares of ArTara Sub Exchangeable Common Stock, in connection with the Merger. The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of Issuer's common stock. 25% of the shares vest on each one-year anniversary of January 10, 2020. 25% of the shares vest on the one year anniversary of January 10, 2020 and 1/48th of the shares vesting monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date. /s/ Jesse Shefferman 2020-01-13