-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Qy1N7duT54B2luDJGbkKA+TNnSyw9V4M3Y8mIrXVxUXQ9TPOv6a3eLvYRsvuAcEH 0Tl6Fw8jPQJlnIqLMR4dSw== 0000932440-97-000157.txt : 19970611 0000932440-97-000157.hdr.sgml : 19970611 ACCESSION NUMBER: 0000932440-97-000157 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970531 FILED AS OF DATE: 19970610 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PROTEON INC/MA CENTRAL INDEX KEY: 0000874316 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 042531856 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19175 FILM NUMBER: 97621700 BUSINESS ADDRESS: STREET 1: NINE TECHNOLOGY DRIVE CITY: WESTBOROUGH STATE: MA ZIP: 01581 BUSINESS PHONE: 5088982800 MAIL ADDRESS: STREET 1: 9 TECHNOLOGY DR CITY: WESTBOROUGH STATE: MA ZIP: 01581 COMPANY DATA: COMPANY CONFORMED NAME: SEVIN L J CENTRAL INDEX KEY: 0001008284 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR IRS NUMBER: 434427594 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 13455 NOEL RD STREET 2: STE 1670 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 9727021100 MAIL ADDRESS: STREET 1: 13455 NOEL ROAD STREET 2: SUITE 1670 CITY: DALLAS STATE: TX ZIP: 75240 4 1 FORM 4 - MAY 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP (X) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Sevin, L.J. c/o Sevin Rosen Funds, Two Galleria Tower 13455 Noel Road, Suite 1670 Dallas, TX 75240 2. Issuer Name and Ticker or Trading Symbol Proteon, Inc. ("PTON") 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year May 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) ( ) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |5/7/97|P | |5,000 |A |$2.25 | |I |By Trust(1) | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/8/97|P | |5,000 |A |$2.3125 | |I |By Trust(1) | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/9/97|P | |5,000 |A |$2.3125 | |I |By Trust (1) | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/12/9|P | |5,000 |A |$2.45 | |I |By Trust(1) | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/13/9|P | |5,000 |A |$2.875 | |I |By Trust(1) | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/19/9|P | |5,000 |A |$2.375 | |I |By Trust(1) | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/20/9|P | |5,000 |A |$2.4375 | |I |By Trust(1) | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/21/9|P | |5,000 |A |$2.4375 |50,000(2) |I |By Trust(1) | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |179,796 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Shares held of record by the L.J. Sevin Benevolent Fund (the "Fund"). As the trustee of the Fund, the Reporting Person may be deemed a benefical owner of the shares held of record by the Fund. (2) Includes 10,000 shares acquired subsequent to the termination of the Reporting Person's service as a director of the Issuer. SIGNATURE OF REPORTING PERSON /s/ L.J. Sevin DATE June 10, 1997 -----END PRIVACY-ENHANCED MESSAGE-----