Filing Details

Accession Number:
0001209191-16-137319
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-08-16 18:28:10
Reporting Period:
2016-08-16
Filing Date:
2016-08-16
Accepted Time:
2016-08-16 18:28:10
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1377121 Protagonist Therapeutics Inc PTGX Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1619859 L.p. X Canaan 285 Riverside Avenue, Suite 250
Westport CT 06880
Yes No Yes No
1673228 Canaan Partners X Llc 285 Riverside Avenue
Suite 250
Westport CT 06880
Yes No 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 2016-08-16 1,869,922 $0.00 1,869,922 No 4 C Direct
Common Stock Acquisiton 2016-08-16 583,333 $12.00 2,453,255 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series C Preferred Stock Disposition 2016-08-16 27,113,877 $0.00 1,869,922 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
Footnotes
  1. The number of shares of common stock reflects a 1-for-14.5 reverse stock split, which became effective on August 1, 2016. Pursuant to the reverse stock split, every 14.5 shares of Preferred Stock converted into one share of common stock of the Issuer at the closing of the Issuer's initial public offering.
  2. Each share of the Issuer's Series C Preferred Stock, which had no expiration date, automatically converted into the Issuer's common stock on a 1-for-14.5 basis at the closing of the Issuer's initial public offering, for no additional consideration.
  3. These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Julie Papanek, a non-managing member of Canaan X, serves as representative of the Canaan Entities on the Issuer's board of directors. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.