SEC Form 4/A · accession 0001012975-17-000502
Protara Therapeutics, Inc. · TARA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
Helmut Schuhsler
10% Owner
TVM Life Science Ventures VI LP
Director · 10% Owner
Stefan Fischer
10% Owner
Hubert Birner
Director · 10% Owner
TVM Life Science Ventures VI GmbH & Co KG
Director · 10% Owner
Period of report
Jun 22, 2017
Accepted (ET)
Jun 30, 2017 · 1:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001359931
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1,F2,F3,F4,F5 | $0.9949 | Jun 22, 2017 | P | 372 | A | — | — | Common Stock, $0.001 par value | 373,907 | 500 | D |
Explanation of responses
- F1This amendment to the original Form 4 does not amend any item originally reported in Table II and the first line item of Table II is restated in this amendment for the sole purpose of gaining access to the electronic filing system; footnotes relating to such first line item are included for completeness and have not been amended. This amendment is made by the Reporting Persons solely to include the power of attorney attached hereto as Exhibit 24.
- F2The shares are directly held by TVM Life Science Ventures VI GMBH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), and Helmut Schuhsler ("Schuhsler") are members of the investment committee of TVM Life Science Management VI L.P. ("TVM VI Management"), a special limited partner of TVM VI, with voting and dispositive power over the shares held by TVM VI. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any. Birner is a director of the issuer.
- F3The Series A convertible preferred stock (the "Series A Stock") is convertible, at the option of the holder, into Proteon Therapeutics Inc. common stock, $0.01 par value per share (the "Common Stock"), at a price per share equal to $0.9949.
- F4The Series A Stock has no expiration date.
- F5The certificate of designations for the Series A Stock contains a provision prohibiting conversion to the extent that upon conversion the holder, together with its affiliates and any "group" members, would beneficially own in excess of 9.985% of the number of shares of Common Stock then outstanding.