SEC Form 4 · accession 0001209191-18-047548
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 15, 2018
Accepted (ET)
Aug 17, 2018 · 8:28 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,F2 | Aug 15, 2018 | A | 18,750 | $0.00 | A | 26,956 | 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 | $8.58 | Aug 15, 2018 | A | 12,500 | A | — | Aug 14, 2028 | Common Stock | 12,500 | 12,500 | D |
Explanation of responses
- F1Represents grant of the restricted stock units payable solely in common stock that vest as follows: 1/3rd of the total number of shares shall vest on each of February 5, 2019, August 5, 2019 and February 5, 2020.
- F2Includes 1,706 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2018.
- F31/3rd of the total number of shares underlying this option shall vest on each of February 5, 2019, August 5, 2019 and February 5, 2020.