Filing Details

Accession Number:
0001144204-14-008809
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-13 20:47:49
Reporting Period:
2006-06-07
Filing Date:
2014-02-13
Accepted Time:
2014-02-13 20:47:49
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1335103 Protea Biosciences Group Inc. NONE Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1529364 Stanley Hostler 955 Hartman Run Road
Morgantown WV 26507
Vice President And Secretary Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2011-12-27 50,000 $2.00 1,939,599 No 4 P Direct
Common Stock Acquisiton 2011-12-27 50,000 $2.00 1,939,599 No 4 P Indirect By Spouse (Virginia E. Child)
Common Stock Acquisiton 2012-03-01 135,621 $1.50 2,075,220 No 4 P Direct
Common Stock Acquisiton 2012-03-01 83,360 $1.50 2,158,580 No 4 P Direct
Common Stock Acquisiton 2012-03-01 28,766 $1.50 2,187,346 No 4 P Direct
Common Stock Acquisiton 2012-03-01 135,621 $1.50 2,322,967 No 4 P Direct
Common Stock Acquisiton 2012-03-01 135,621 $1.50 2,322,967 No 4 P Indirect By Spouse (Virginia E. Child)
Common Stock Acquisiton 2012-03-01 83,360 $1.50 2,406,327 No 4 P Direct
Common Stock Acquisiton 2012-03-01 83,360 $1.50 2,406,327 No 4 P Indirect By Spouse (Virginia E. Child)
Common Stock Acquisiton 2012-03-01 28,766 $1.50 2,435,093 No 4 P Direct
Common Stock Acquisiton 2012-03-01 28,766 $1.50 2,435,093 No 4 P Indirect By Spouse (Virginia E. Child)
Common Stock Acquisiton 2012-07-27 25,000 $2.00 2,460,093 No 4 P Direct
Common Stock Acquisiton 2012-07-27 50,000 $2.00 2,510,093 No 4 P Direct
Common Stock Acquisiton 2012-07-27 50,000 $2.00 2,510,093 No 4 P Indirect By Spouse (Virginia E. Child)
Common Stock Acquisiton 2013-04-12 105,638 $1.00 2,615,731 No 4 P Direct
Common Stock Acquisiton 2013-04-12 105,638 $1.00 2,615,731 No 4 P Indirect By Spouse (Virginia E. Child)
Common Stock Acquisiton 2013-04-12 163,923 $1.00 2,779,654 No 4 P Direct
Common Stock Acquisiton 2013-04-12 163,923 $1.00 2,779,654 No 4 P Indirect By Spouse (Virginia E. Child)
Common Stock Acquisiton 2013-04-12 163,923 $1.00 2,943,577 No 4 P Direct
Common Stock Acquisiton 2013-04-12 105,638 $1.00 3,049,215 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Indirect By Spouse (Virginia E. Child)
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Indirect By Spouse (Virginia E. Child)
No 4 P Direct
No 4 P Indirect By Spouse (Virginia E. Child)
No 4 P Direct
No 4 P Indirect By Spouse (Virginia E. Child)
No 4 P Direct
No 4 P Direct
No 4 P Indirect By Spouse (Virginia E. Child)
No 4 P Direct
No 4 P Indirect By Spouse (Virginia E. Child)
No 4 P Direct
No 4 P Indirect By Spouse (Virginia E. Child)
No 4 P Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option Acquisiton 2006-06-07 100,000 $80,000.00 100,000 $0.80
Common Stock Stock Option Acquisiton 2007-09-01 16,000 $24,000.00 16,000 $1.50
Common Stock Stock Option Acquisiton 2008-12-31 48,000 $72,000.00 48,000 $1.50
Common Stock Stock Option Acquisiton 2009-12-31 48,000 $72,000.00 48,000 $1.50
Common Stock Stock Option Acquisiton 2010-09-17 100,000 $150,000.00 100,000 $1.50
Common Stock Stock Option Acquisiton 2010-12-31 48,000 $72,000.00 48,000 $1.50
Common Stock Warrant Acquisiton 2011-05-31 50,000 $100,000.00 50,000 $2.00
Common Stock Warrant Acquisiton 2011-08-31 16,000 $32,000.00 16,000 $2.00
Common Stock Stock Option Acquisiton 2011-09-30 36,000 $54,000.00 36,000 $1.50
Common Stock Warrant Acquisiton 2011-12-27 25,000 $56,250.00 25,000 $2.25
Common Stock Warrant Acquisiton 2011-12-27 25,000 $56,250.00 25,000 $2.25
Common Stock Convertible Note Acquisiton 2011-12-20 500,000 $250,000.00 0 $2.00
Common Stock Stock Option Acquisiton 2011-12-31 12,000 $24,000.00 12,000 $2.00
Common Stock Convertible Note Acquisiton 2012-04-16 280,000 $140,000.00 0 $0.50
Common Stock Convertible Note Acquisiton 2012-04-16 200,000 $100,000.00 0 $0.50
Common Stock Convertible Note Acquisiton 2012-04-16 200,000 $100,000.00 0 $0.50
Common Stock Warrant Acquisiton 2012-07-27 12,500 $28,125.00 12,500 $2.50
Common Stock Warrant Acquisiton 2012-07-27 25,000 $56,250.00 25,000 $2.25
Common Stock Warrant Acquisiton 2012-07-27 25,000 $56,250.00 25,000 $2.25
Common Stock Convertible Note Acquisiton 2012-09-25 140,000 $70,000.00 0 $0.50
Common Stock Convertible Note Acquisiton 2012-09-25 300,000 $150,000.00 0 $0.50
Common Stock Convertible Note Acquisiton 2012-09-25 300,000 $150,000.00 0 $0.50
Common Stock Convertible Note Acquisiton 2012-09-25 136,432 $68,216.00 0 $0.50
Common Stock Convertible Note Acquisiton 2012-11-30 650,000 $325,000.00 0 $0.50
Common Stock Convertible Note Acquisiton 2012-11-30 550,000 $275,000.00 0 $0.50
Common Stock Convertible Note Acquisiton 2012-11-30 550,000 $275,000.00 0 $0.50
Common Stock Stock Option Acquisiton 2012-11-30 44,000 $88,000.00 44,000 $2.00
Common Stock Stock Option Acquisiton 2012-12-31 4,000 $2,200.00 4,000 $0.55
Common Stock Stock Option Acquisiton 2013-01-31 4,000 $2,200.00 4,000 $0.55
Common Stock Stock Option Acquisiton 2013-02-28 4,000 $2,200.00 4,000 $0.55
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,005,000 2006-06-07 2016-06-07 No 4 A Direct
1,021,000 2007-09-01 2017-09-01 No 4 A Direct
1,069,000 2008-12-31 2018-12-31 No 4 A Direct
1,117,000 2009-12-31 2019-12-31 No 4 A Direct
1,217,000 2010-09-17 2020-09-17 No 4 A Direct
1,265,000 2010-12-31 2020-12-31 No 4 A Direct
1,315,000 2011-05-31 2016-05-31 No 4 P Direct
1,331,000 2011-08-31 2016-08-31 No 4 P Direct
1,367,000 2011-09-30 2021-09-30 No 4 A Direct
1,392,000 2011-12-27 2016-12-27 No 4 P Direct
1,392,000 2011-12-27 2016-12-27 No 4 P Indirect
1,892,000 2011-12-20 2013-05-31 No 4 P Direct
1,904,000 2011-12-31 2021-12-31 No 4 A Direct
2,184,000 2012-04-16 2013-05-31 No 4 P Direct
2,384,000 2012-04-16 2013-05-31 No 4 P Direct
2,384,000 2012-04-16 2013-05-31 No 4 P Indirect
2,396,500 2012-07-27 2017-07-27 No 4 P Direct
2,421,500 2012-07-27 2017-07-27 No 4 P Direct
2,421,500 2012-07-27 2017-07-27 No 4 P Indirect
2,561,500 2012-09-25 2013-05-31 No 4 P Direct
2,861,500 2012-09-25 2013-05-31 No 4 P Direct
2,861,500 2012-09-25 2013-05-31 No 4 P Indirect
2,997,932 2012-09-25 2013-05-31 No 4 P Direct
3,647,932 2012-11-30 2013-05-31 No 4 P Direct
4,197,932 2012-11-30 2013-05-31 No 4 P Direct
4,197,932 2012-11-30 2013-05-31 No 4 P Indirect
4,241,932 2012-11-30 2022-11-30 No 4 A Direct
4,245,932 2012-12-31 2022-12-31 No 4 A Direct
4,249,932 2013-01-31 2023-01-31 No 4 A Direct
4,253,932 2013-02-28 2023-02-28 No 4 A Direct
Footnotes
  1. On December 27, 2011 the Company issued to Virginia Child, wife of Stanley Hostler, 50,000 shares of common stock and warrants to purchase 25,000 shares of common stock exercisable at $2.25 per share.
  2. Reissuance of stock certificates of previously issued shares.
  3. On July 27, 2012, the Company issued 75,000 shares of common stock at $2.00 per share and five-year warrants of 37,500 to purchase additional shares of common stock for an aggregate purchase price of $150,000 to Stanley Hostler and Virginia Child, 25,000 shares and 12,500 warrants and 50,000 shares 25,000 warrants, respectively. The warrants are exercisable at an exercise price of $2.25 per share.
  4. Transfer of shares previously held by the Reporting Person and his wife, Virginia Child, via Grantor Retained Annuity Trusts.
  5. On December 20, 2011, the Company issued promissory notes to the Reporting Person equal to $250,000. On April 16, 2012, the Company issued a promissory note equal to $240,000 to the Reporting Person and Virginia Child. On September 25, 2012, the Company issued promissory notes equal to $288,216 to the Reporting Person and Virginia Child. On November 30, 2012, the Company issued promissory notes equal to $600,000 to the Reporting Person and Virginia Child. Each $2.00 of outstanding principal and accrued unpaid interest is convertible into one share of common stock . On March 22, 2013, the Company approved adjustment of conversion price of the notes from $2.00 to $0.50 per share. In accordance with Conversion Agreements, as of June 30, 2013 the $1,517,573 in principal and accrued unpaid interest were converted into common stock of the Company. In addition, the Company issued a 5-year warrant to each note holder to purchase 75% of the number of shares into which the notes converted
  6. Represents share of record owned by the Reporting Person's wife, Virginia Child.