SEC Form 4 · accession 0001209191-17-063316
Protagonist Therapeutics, Inc · PTGX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Y Liu
Officer — Chief Scientific Officer
Period of report
Nov 30, 2017
Accepted (ET)
Dec 1, 2017 · 6:56 pm 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 | Nov 30, 2017 | A | 875 | $1.89 | A | 4,697 | D | |
| Common Stock | Nov 30, 2017 | S | 875 | $20.00 | D | 3,822 | 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)F2 | $1.89 | Nov 30, 2017 | M | 875 | D | — | Oct 22, 2024 | Common Stock | 875 | 12,350 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2017.
- F2The 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.