0001104659-23-067691.txt : 20230602 0001104659-23-067691.hdr.sgml : 20230602 20230602195155 ACCESSION NUMBER: 0001104659-23-067691 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230531 FILED AS OF DATE: 20230602 DATE AS OF CHANGE: 20230602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gupta Suneel CENTRAL INDEX KEY: 0001763923 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37852 FILM NUMBER: 23990908 MAIL ADDRESS: STREET 1: 7707 GATEWAY BLVD., SUITE 140 CITY: NEWARK STATE: CA ZIP: 94560 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Protagonist Therapeutics, Inc CENTRAL INDEX KEY: 0001377121 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 980505495 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7707 GATEWAY BLVD., SUITE 140 CITY: NEWARK STATE: CA ZIP: 94560-1160 BUSINESS PHONE: (510) 474-0170 MAIL ADDRESS: STREET 1: 7707 GATEWAY BLVD., SUITE 140 CITY: NEWARK STATE: CA ZIP: 94560-1160 FORMER COMPANY: FORMER CONFORMED NAME: Protagonist Therapeutics Inc DATE OF NAME CHANGE: 20130605 FORMER COMPANY: FORMER CONFORMED NAME: Protagonist Inc DATE OF NAME CHANGE: 20061002 4 1 tm2317724-3_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-05-31 0 0001377121 Protagonist Therapeutics, Inc PTGX 0001763923 Gupta Suneel 7707 GATEWAY BLVD., SUITE 140 NEWARK CA 94560 0 1 0 0 Chief Development Officer 0 Common Stock 2023-05-31 4 A 0 12000 0 A 152187 D Common Stock 2023-05-31 4 F 0 4150 26.07 D 148037 D Represents settlement by the Issuer of performance stock units ("PSUs") granted to the Reporting Person under the Company's 2016 Equity Incentive Plan on May 31, 2022, which vested based on the Issuer's achievement of corporate performance objectives. The shares of common stock reported on this Form 4 are subject to a lock-up agreement between the reporting person and J.P. Morgan Securities LLC, Jefferies LLC and Piper Sandler & Co., dated April 4, 2023 (the "Lock-up Date") pursuant to which the shares of common stock reported herein cannot be sold for 60 days following the Lock-up Date. Includes an aggregate of 2,000 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2023. Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of PSUs. /s/ Matthew Gosling, Attorney-in-Fact for Suneel Gupta 2023-06-02