Filing Details
- Accession Number:
- 0001209191-17-061002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-15 19:14:45
- Reporting Period:
- 2017-11-13
- Accepted Time:
- 2017-11-15 19:14:45
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1377121 | Protagonist Therapeutics Inc | PTGX | Pharmaceutical Preparations (2834) | 980505495 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1675881 | Y David Liu | C/O Protagonist Therapeutics, Inc. 7707 Gateway Blvd., Suite 140 Newark CA 94560-1160 | Chief Scientific Officer | No | Yes | No | 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 | 2017-11-13 | 3,500 | $4.21 | 7,322 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-13 | 3,500 | $16.97 | 3,822 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-11-13 | 3,500 | $1.89 | 7,322 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-13 | 3,500 | $16.97 | 3,822 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-11-13 | 3,500 | $0.00 | 3,500 | $4.21 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-11-13 | 3,500 | $0.00 | 3,500 | $1.89 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 38,831 | 2026-04-29 | No | 4 | M | Direct | |
| 13,225 | 2024-10-22 | No | 4 | M | Direct |
Footnotes
- Includes 1,822 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on September 8, 2017.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2017.
- The option vests over a four-year period, with 1/48th of the shares subject to the option vesting on the last day of each month following the vesting commencement date, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.
- The option vests over a four-year period, with 1/4th of the shares subject to the option vesting on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option vesting each month, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.
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