0001209191-20-003233.txt : 20200113 0001209191-20-003233.hdr.sgml : 20200113 20200113191118 ACCESSION NUMBER: 0001209191-20-003233 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: Zummo Jacqueline CENTRAL INDEX KEY: 0001798929 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 20524716 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 0001798929 Zummo Jacqueline C/O ARTARA THERAPEUTICS, INC. 1 LITTLE WEST 12TH STREET NEW YORK NY 10014 0 1 0 0 Sr. Vice President, Research Common Stock 2020-01-09 4 A 0 28613 A 28613 D Common Stock 2020-01-10 4 A 0 45500 0.00 A 74113 D Stock Option (Right to Buy) 9.18 2020-01-09 4 A 0 19075 A 2028-07-11 Common Stock 19075 19075 D Stock Option (Right to Buy) 9.18 2020-01-09 4 A 0 9537 A 2028-12-31 Common Stock 9537 9537 D Stock Option (Right to Buy) 9.18 2020-01-09 4 A 0 9537 A 2019-09-16 Common Stock 9537 9537 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 150,000 shares of ArTara Sub 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. 1/48th of the shares subject to the option shall vest monthly following August 1, 2018, for so long as the Reporting Person provides continuous service to the Issuer. Received in the Merger in exchange for an employee stock option to acquire 100,000 shares of ArTara Sub Common Stock for $1.75 per share. The shares subject to the option shall vest in forty eight (48) approximately equal increments of one thousand forty one (1,041) shares beginning on the first day of the first calendar month following January 1, 2019, and then on the first day of each of the next forty seven (47) months thereafter (each a "Vesting Date"), if Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being December 1, 2022), all of the Option Shares which had not vested by then (being not less than 1,073 Option Shares) will vest and become exercisable. Received in the Merger in exchange for an employee stock option to acquire 50,000 shares of ArTara Sub Common Stock for $1.75 per share. 22,000 (44%) of the shares subject to the option shall vest immediately. The remaining 28,000 shares shall vest in twenty seven (27) approximately equal increments beginning on the first day of the first calendar month following the Date of Grant, September 17, 2019, and then on the first day of each of the next twenty six (26) months thereafter a ("Vesting Date"), if Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being December 1, 2021, all of the Option Shares which had not vested by then will vest and become exercisable). /s/ Jesse Shefferman, Attorney-in-fact 2020-01-13