SEC Form 4 · accession 0001209191-16-137314

Protagonist Therapeutics, Inc · PTGX

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

Reporting owners

10% Owner

10% Owner

10% Owner

10% Owner

Period of report

Aug 16, 2016

Accepted (ET)

Aug 16, 2016 · 6:19 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^F1,F2	Aug 16, 2016	C	206,896	—	A	206,896	I	By Fund
Common Stock^F1,F2	Aug 16, 2016	C	630,541	—	A	837,437	I	By Fund
Common Stock^F1,F2	Aug 16, 2016	C	678,712	—	A	1,516,149	I	By Fund
Common Stock^F2	Aug 16, 2016	P	583,333	$12.00	A	2,099,482	I	By Fund

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Preferred Stock^F2,F1	—	Aug 16, 2016	C	3,000,000	D	—	—	Common Stock	206,896	I
Series B Preferred Stock^F2,F1	—	Aug 16, 2016	C	9,142,857	D	—	—	Common Stock	630,541	I
Series C Preferred Stock^F2,F1	—	Aug 16, 2016	C	9,841,333	D	—	—	Common Stock	678,712	I

F1Each share of the Issuer's Series A Preferred Stock, 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.
F2These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Steve Hall and Armen Shanafelt. Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of his or its respective proportionate pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.