0001144204-14-043070.txt : 20140715
0001144204-14-043070.hdr.sgml : 20140715
20140715150854
ACCESSION NUMBER: 0001144204-14-043070
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140711
FILED AS OF DATE: 20140715
DATE AS OF CHANGE: 20140715
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: 14975736
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: 14975737
MAIL ADDRESS:
STREET 1: 4673 CHRISTOPHER PLACE
CITY: DALLAS
STATE: TX
ZIP: 75204
4
1
v383917_4.xml
OWNERSHIP DOCUMENT
X0306
4
2014-07-11
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
2013-01-28
Common Stock
12375
10583589
D
Convertible Note
0.55
2014-07-11
4
P
0
218182
120000
A
2014-07-11
2015-07-11
Common Stock
218182
10801771
D
Convertible Note
0.55
2014-07-11
4
P
0
218182
120000
A
2014-07-11
2015-07-11
Common Stock
218182
10801771
I
As Managing Member of El Coronado Holdings, LLC
Warrant
0.80
2014-07-11
4
P
0
130909
104727
A
2014-07-11
2019-07-11
Common Stock
130909
10932680
D
Warrant
0.80
2014-07-11
4
P
0
130909
104727
A
2014-07-11
2019-07-11
Common Stock
130909
10932680
I
As Managing Member of El Coronado Holdings, LLC
Represents shares vested as of July 11, 2014. Including these stock options, Mr. Austin holds a total of 82,708 vested options.
On July 11, 2014, the Company issued a convertible promissory note (the "Note") to El Coronado Holdings, LLC. The Note's principal amount is $120,000 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 Note, the reporting persons shall receive a warrant to purchase 130,909 shares of common stock for the principal amount of the Note plus any interest converted, exercisable at $0.80 per share for five years.
/s/ Josiah T. Austin
2014-07-11
/s/ Josiah T. Austin, Managing Member of El Coronado Holdings, LLC
2014-07-11