SEC Form 5 · accession 0001209191-17-007438
Protagonist Therapeutics, Inc · PTGX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dinesh V Ph D Patel
Officer — President and CEO · Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 3, 2017 · 11:37 am EST
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 | Dec 22, 2016 | M | 3,000 | $0.87 | A | 134,976 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $0.87 | Dec 22, 2016 | M | 3,000 | D | — | Sep 26, 2023 | Common Stock | 3,000 | 27,659 | 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.