SEC Form 4 · accession 0001209191-18-016035
Protagonist Therapeutics, Inc · PTGX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas P. O'Neil
Officer — Chief Financial Officer
Period of report
Feb 28, 2018
Accepted (ET)
Mar 2, 2018 · 7:20 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 StockF1,F2 | Feb 28, 2018 | A | 6,000 | $0.00 | A | 8,858 | 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 | $16.95 | Feb 28, 2018 | A | 34,000 | A | — | Feb 27, 2028 | Common Stock | 34,000 | 34,000 | D |
Explanation of responses
- F1Represents grant of the restricted stock units payable solely in common stock that vest in equal annual installments over four years from the grant date.
- F2Includes 1,572 shares and 1,286 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2017 and September 8, 2017, respectively.
- F3The shares underlying this option shall vest as to 25% after one year following the grant date, and the remainder will vest in equal monthly installments over the following three years.