SEC Form 4 · accession 0000904454-16-001373

Protagonist Therapeutics, Inc · PTGX

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

Reporting owners

10% Owner

10% Owner

Period of report

Aug 16, 2016

Accepted (ET)

Aug 18, 2016 · 5:11 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001377121

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2,F1,F3	Aug 16, 2016	C	965,517	—	A	965,517	I	By Johnson & Johnson Innovation - JJDC, Inc.
Common Stock^F2,F1,F3	Aug 16, 2016	C	900,333	—	A	1,865,850	I	By Johnson & Johnson Innovation - JJDC, Inc.
Common Stock^F3	Aug 16, 2016	P	583,333	$12.00	A	2,449,183	I	By Johnson & Johnson Innovation - JJDC, Inc.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Preferred Stock^F3,F1,F2	—	Aug 16, 2016	C	14,000,000	D	—	—	Common Stock	965,517	0	I
Series C Preferred Stock^F3,F1,F2	—	Aug 16, 2016	C	13,054,830	D	—	—	Common Stock	900,333	0	I

F1Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-14.5 basis at the closing of the Issuer's initial public offering and had no expiration date.
F2The number of shares of Common Stock reflects a 1-for-14.5 reverse stock split, which became effective on August 1, 2016. Pursuant to the reverse stock split, every 14.5 shares of Series B Preferred Stock and Series C Preferred Stock converted into one share of Common Stock at the closing of the Issuer's initial public offering, for no additional consideration.
F3The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Innovation - JJDC, Inc., a wholly-owned subsidiary of the designated Reporting Person.