0001144204-14-008789.txt : 20140213
0001144204-14-008789.hdr.sgml : 20140213
20140213202419
ACCESSION NUMBER: 0001144204-14-008789
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130920
FILED AS OF DATE: 20140213
DATE AS OF CHANGE: 20140213
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Protea Biosciences Group, Inc.
CENTRAL INDEX KEY: 0001335103
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 955 HARTMAN RUN ROAD
CITY: MORGANTOWN
STATE: WV
ZIP: 26507
BUSINESS PHONE: 304 292-2226
MAIL ADDRESS:
STREET 1: 955 HARTMAN RUN ROAD
CITY: MORGANTOWN
STATE: WV
ZIP: 26507
FORMER COMPANY:
FORMER CONFORMED NAME: Protea Biosciences Inc.
DATE OF NAME CHANGE: 20110908
FORMER COMPANY:
FORMER CONFORMED NAME: SRKP 5 INC
DATE OF NAME CHANGE: 20050803
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: El Coronado Holdings, LLC
CENTRAL INDEX KEY: 0001319763
STATE OF INCORPORATION: AZ
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51474
FILM NUMBER: 14609044
BUSINESS ADDRESS:
STREET 1: 4673 CHRISTOPHER PLACE
CITY: DALLAS
STATE: TX
ZIP: 75204
BUSINESS PHONE: 214-520-1684
MAIL ADDRESS:
STREET 1: 4673 CHRISTOPHER PLACE
CITY: DALLAS
STATE: TX
ZIP: 75204
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: AUSTIN JOSIAH T
CENTRAL INDEX KEY: 0000932267
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51474
FILM NUMBER: 14609045
MAIL ADDRESS:
STREET 1: 4673 CHRISTOPHER PLACE
CITY: DALLAS
STATE: TX
ZIP: 75204
4
1
v368353_4.xml
OWNERSHIP DOCUMENT
X0306
4
2013-09-20
0
0001335103
Protea Biosciences Group, Inc.
NONE
0000932267
AUSTIN JOSIAH T
4673 CHRISTOPHER PLACE.
DALLAS
TX
75204
1
0
1
0
0001319763
El Coronado Holdings, LLC
4673 CHRISTOPHER PLACE
DALLAS
TX
75204
0
0
1
0
Common Stock
2013-11-01
4
P
0
100000
0.50
A
4148447
D
Common Stock
2013-11-01
4
P
0
100000
0.50
A
4148447
I
As Managing Member of El Coronado Holdings, LLC
Common Stock
2013-11-01
4
P
0
1026111
0.50
A
5174558
D
Common Stock
2013-11-01
4
P
0
1026111
0.50
A
5174558
I
As Managing Member of El Coronado Holdings, LLC
Common Stock
2013-11-01
4
P
0
638750
0.50
A
5813308
D
Common Stock
2013-11-01
4
P
0
638750
0.50
A
5813308
I
As Managing Member of El Coronado Holdings, LLC
Common Stock
2013-11-01
4
P
0
606833
0.50
A
6420141
D
Common Stock
2013-11-01
4
P
0
606833
0.50
A
6420141
I
As Managing Member of El Coronado Holdings, LLC
Common Stock
2013-12-30
4
P
0
254584
0.50
A
6674725
D
Common Stock
2013-12-30
4
P
0
254584
0.50
A
6674725
I
As Managing Member of El Coronado Holdings, LLC
Convertible Note
0.50
2013-10-25
4
P
0
250000
125000
A
2013-10-25
2014-02-25
Common Stock
6350552
D
Convertible Note
0.50
2013-10-25
4
P
0
250000
125000
A
2013-10-25
2014-02-25
Common Stock
6350552
I
As Managing Member of El Coronado Holdings, LLC
Convertible Notes
0.50
2013-11-01
4
C
0
2271694
1135847.23
D
2013-11-01
2013-11-01
Common Stock
2271694
4120552
D
Convertible Notes
0.50
2013-11-01
4
C
0
2271694
1135847.23
D
2013-11-01
2013-11-01
Common Stock
2271694
4120552
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.50
2013-11-01
4
P
0
100000
50000
A
2013-11-01
2014-11-01
Common Stock
100000
4220552
D
Warrant
0.50
2013-11-01
4
P
0
100000
50000
A
2013-11-01
2014-11-01
Common Stock
100000
4220552
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.75
2013-11-01
4
P
0
50000
37500
A
2013-11-01
2018-11-01
Common Stock
50000
4270552
D
Warrant
0.75
2013-11-01
4
P
0
50000
37500
A
2013-11-01
2018-11-01
Common Stock
50000
4270552
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.50
2013-11-01
4
P
0
1026111
513056
A
2013-11-01
2014-11-01
Common Stock
1026111
5296663
D
Warrant
0.50
2013-11-01
4
P
0
1026111
513056
A
2013-11-01
2014-11-01
Common Stock
1026111
5296663
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.75
2013-11-01
4
P
0
513056
384792
A
2013-11-01
2018-11-01
Common Stock
513056
5809719
D
Warrant
0.75
2013-11-01
4
P
0
513056
384792
A
2013-11-01
2018-11-01
Common Stock
513056
5809719
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.50
2013-11-01
4
P
0
638750
319375
A
2013-11-01
2014-11-01
Common Stock
638750
6448469
D
Warrant
0.50
2013-11-01
4
P
0
638750
319375
A
2013-11-01
2014-11-01
Common Stock
638750
6448469
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.75
2013-11-01
4
P
0
319375
239531
A
2013-11-01
2018-11-01
Common Stock
319375
6767844
D
Warrant
0.75
2013-11-01
4
P
0
319375
239531
A
2013-11-01
2018-11-01
Common Stock
319375
6767844
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.50
2013-11-01
4
P
0
606833
303417
A
2013-11-01
2014-11-01
Common Stock
606833
7374677
D
Warrant
0.50
2013-11-01
4
P
0
606833
303417
A
2013-11-01
2014-11-01
Common Stock
606833
7374677
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.75
2013-11-01
4
P
0
303417
227563
A
2013-11-01
2018-11-01
Common Stock
303417
7678094
D
Warrant
0.75
2013-11-01
4
P
0
303417
227563
A
2013-11-01
2018-11-01
Common Stock
303417
7678094
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.50
2013-12-30
4
P
0
254584
127292
A
2013-12-30
2014-12-30
Common Stock
254584
7932678
D
Warrant
0.50
2013-12-30
4
P
0
254584
127292
A
2013-12-30
2014-12-30
Common Stock
254584
7932678
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.75
2013-12-30
4
P
0
127292
95469
A
2013-12-30
2018-12-30
Common Stock
127292
8059970
D
Warrant
0.75
2013-12-30
4
P
0
127292
95469
A
2013-12-30
2018-12-30
Common Stock
127292
8059970
I
As Managing Member of El Coronado Holdings, LLC
Convertible Note
0.50
2013-12-30
4
C
0
254584
127292
D
2013-12-30
2013-12-30
Common Stock
254584
7809970
D
Convertible Note
0.50
2013-12-30
4
C
0
254584
127292
D
2013-12-30
2013-12-30
Common Stock
254584
7809970
I
As Managing Member of El Coronado Holdings, LLC
Stock Option
0.55
2013-01-28
4
A
0
57958
31877
A
2013-01-28
2023-01-28
Common Stock
57958
7867928
D
On November 1, 2013, the Company issued to El Coronoado Holdings, LLC, of which Josiah T. Austin is the managing member (collectively, the "Reporting Person") 1/2 of a unit (each a "Winter 2013 Unit") consisting of (i) 100,000 shares of common stock, par value $.0001 per share, (ii) and two warrants, including (a) a 1 year warrant to purchase 100,000 shares of common stock at an exercise price of $0.50 per share (the "A Warrants") and (b) a 5 year warrant to purchase 50,000 shares of common stock at an exercise price of $0.75 per share (the "B Warrants" and together with the A Warrants the "Investor Warrants") in connection with the sale of approximately 55 Winter 2013 Units in an offering (the "Winter 2013 Offering") of a minimum of $2,000,000 and up to a maximum of $6,000,000 of securities of the Company.
Represents the securities of the Company owned of record by El Coronado Holdings, LLC. Josiah Austin is the managing member of El Coronado Holdings, LLC with voting and investment control over the securities of the Company owned of record by El Coronado Holdings, LLC and therefore deeemed to beneficially own the securities of the Company owned of record by El Coronado Holdings, LLC.
In addition, on November 1, 2013, the Company issued an aggregate of approximately 11.36 in additional Units to the Reporting Person, in connection with the conversion of $1,135,847.23 in outstanding principal and accrued unpaid interest in outstanding bridge notes.
On October 25, 2013, the Company issued a promissory note for $125,000 to El Coronado and, entered into a Note and Warrant Purchase Agreement by and between the Company and El Coronado. On December 30, 2013 the note converted into andditional approximate 1.27 Winter 2013 Units in connection with the conversion of $127,292 in outstanding principal and accrued unpaid interset in the note.
Represents shares vested as of February 10, 2014.
/s/ Josiah T. Austin
2014-02-13
/s/ Josiah T. Austin, Managing Member of El Coronado Holdings, LLC
2014-02-13