SEC Form 4 · accession 0001140361-16-085046

Protea Biosciences Group, Inc. · PRGB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Nov 3, 2016

Accepted (ET)

Nov 7, 2016 · 2:20 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001335103

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Nov 3, 2016	P	293,333	$0.075	A	2,724,992	I	By spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class A Warrant to Purchase Common Stock^F1	$0.09	Nov 3, 2016	A	293,333	A	Nov 3, 2016	May 3, 2017	Common Stock	293,333	293,333	I
Class B Warrant to Purchase Common Stock^F1	$0.1125	Nov 3, 2016	A	293,333	A	Nov 3, 2016	Nov 3, 2021	Common Stock	293,333	293,333	I

F1The spouse of Reporting Person purchased 2.2 Units of the Issuer's securities for an aggregate purchase price of $22,000, each Unit consisting of (a) 133,333.33 shares of common stock, par value $0.0001 per share (the "Common Stock"), (b) 18 month warrants to purchase up to 133,333.33 shares of Common Stock at an exercise price of $0.09 per share (the "Class A Warrants"), and (c) five year warrants to purchase up to 133,333.33 shares of Common Stock at an exercise price of $0.1125 per share (the "Class B Warrants").