0001144204-14-029676.txt : 20140512 0001144204-14-029676.hdr.sgml : 20140512 20140512181742 ACCESSION NUMBER: 0001144204-14-029676 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140506 FILED AS OF DATE: 20140512 DATE AS OF CHANGE: 20140512 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: 26505 BUSINESS PHONE: 304 292-2226 MAIL ADDRESS: STREET 1: 955 HARTMAN RUN ROAD CITY: MORGANTOWN STATE: WV ZIP: 26505 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: 14834791 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: 14834792 MAIL ADDRESS: STREET 1: 4673 CHRISTOPHER PLACE CITY: DALLAS STATE: TX ZIP: 75204 4 1 v378019_4.xml OWNERSHIP DOCUMENT X0306 4 2014-05-06 0 0001335103 Protea Biosciences Group, Inc. PRGB 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 Stock Option 0.55 2013-01-28 4 A 0 12375 6806 A 2023-01-28 Common Stock 12375 8389394 D Convertible Note 0.55 2014-05-06 4 P 0 90909 50000 A 2014-05-06 2015-05-06 Common Stock 90909 8480303 D Convertible Note 0.55 2014-05-06 4 P 0 90909 50000 A 2014-05-06 2015-05-06 Common Stock 90909 8480303 I As Managing Member of El Coronado Holdings, LLC Warrant 0.80 2014-05-06 4 P 0 54546 46636 A 2014-05-06 2019-05-06 Common Stock 54546 8534849 D Warrant 0.80 2014-05-06 4 P 0 54546 46636 A 2014-05-06 2019-05-06 Common Stock 54546 8534849 I As Managing Member of El Coronado Holdings, LLC Convertible Note 0.55 2014-05-09 4 P 0 181818 100000 A 2014-05-09 2015-05-09 Common Stock 181818 8716667 D Convertible Note 0.55 2014-05-09 4 P 0 181818 100000 A 2014-05-09 2015-05-09 Common Stock 181818 8716667 I As Managing Member of El Coronado Holdings, LLC Warrant 0.80 2014-05-09 4 P 0 109091 87273 A 2014-05-09 2019-05-09 Common Stock 109.091 8825758 D Warrant 0.80 2014-05-09 4 P 0 109091 87273 A 2014-05-09 2019-05-09 Common Stock 109091 8825758 I As Managing Member of El Coronado Holdings, LLC Represents shares vested as of May 6, 2014. Including these stock options, Mr. Austin holds a total of 70,333 vested options. On May 6, 2014, the Company issued a covertible promissory note (the May 6 Note "Note") to El Coronado Holdings, LLC. The May 6 Note's principal amount is $50,000 and bears interest at a rate of 10% annually and will mature one year from the issuance date. Mr. Josiah Austin is the managing member of El Coronado Holdings, LLC and may be deemed to have voting and investment control over these securities. Upon conversion of the May 6 Note, the reporting persons shall receive a warrant to purchase 54,546 shares of common stock for each $50,000 of principal and interest converted, exercisable at $0.80 per share for five years. On May 9, 2014, the Company issued a covertible promissory note (the "May 9 Note") to El Coronado Holdings, LLC. The May 9 Note's principal amount is $100,000 and bears interest at a rate of 10% annually and will mature one year from the issuance date. Mr. Josiah Austin is the managing member of El Coronado Holdings, LLC and may be deemed to have voting and investment control over these securities. Upon conversion of the May 9 Note, the reporting persons shall receive a warrant to purchase 109,091 shares of common stock for each $100,000 of principal and interest converted, exercisable at $0.80 per share for five years. /s/ Josiah T. Austin 2014-05-12 /s/ Josiah T. Austin, Managing Member of El Coronado Holdings, LLC 2014-05-12