SEC Form 4 · accession 0001209191-17-050815
Protagonist Therapeutics, Inc · PTGX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard S. Shames
Officer — Chief Medical Officer
Period of report
Aug 29, 2017
Accepted (ET)
Aug 30, 2017 · 7:08 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 StockF1 | Aug 29, 2017 | M | 1,512 | $4.21 | A | 3,377 | D | |
| Common Stock | Aug 29, 2017 | S | 1,512 | $17.00 | D | 1,865 | 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)F3 | $4.21 | Aug 29, 2017 | M | 1,512 | D | — | Apr 29, 2026 | Common Stock | 1,512 | 38,819 | D |
Explanation of responses
- F1Includes 1,865 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2017.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 9, 2017.
- F3The option vests over a four-year period, with 1/4th of the shares subject to the option vesting on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option vesting each month, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.