SEC Form 3 · accession 0001209191-16-136466
Protagonist Therapeutics, Inc · PTGX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William A Hodder
Officer — Sr. VP - Corporate Development
Period of report
Aug 10, 2016
Accepted (ET)
Aug 10, 2016 · 8:06 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 | holding | — | — | — | 7,943 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $1.89 | holding | — | — | — | — | Mar 26, 2025 | Common Stock | 18,052 | — | D |
| Employee Stock Option (right to buy)F1 | $1.16 | holding | — | — | — | — | Oct 28, 2025 | Common Stock | 14,087 | — | D |
| Employee Stock Option (right to buy)F2 | $4.21 | holding | — | — | — | — | Apr 29, 2026 | Common Stock | 21,449 | — | D |
Explanation of responses
- F11/4th of the shares subject to the option shall vest on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option shall vest on the last day of each month following the first anniversary of the vesting commencement date, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.
- F21/48th of the shares subject to the option shall vest on the last day of each month following the vesting commencement date, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.