SEC Form 4 · accession 0001209191-17-066699
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 20, 2017
Accepted (ET)
Dec 20, 2017 · 9:28 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 | Dec 20, 2017 | M | 1,790 | $1.89 | A | 192,227 | D | |
| Common StockF2 | Dec 20, 2017 | S | 1,790 | $19.546 | D | 190,437 | 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 | $1.89 | Dec 20, 2017 | M | 1,790 | D | — | Oct 22, 2024 | Common Stock | 1,790 | 52,297 | 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 9, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.71, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F31/4th 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.