Filing Details
- Accession Number:
- 0001193805-17-003553
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-12-04 17:17:45
- Reporting Period:
- 2017-11-30
- Accepted Time:
- 2017-12-04 17:17:45
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1359931 | Proteon Therapeutics Inc | PRTO | () | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1009258 | Deerfield Management Co | 780 Third Avenue, 37Th Floor New York NY 10017 | Yes | No | No | Yes | |
1010823 | L.p. Mgmt Deerfield | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1301041 | Deerfield Partners, L.p. | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1352546 | E James Flynn | 780 Third Avenue, 37Th Floor New York NY 10017 | Yes | No | No | Yes | |
1565089 | Deerfield International Master Fund, L.p. | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes |
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 | 2017-11-30 | 110,557 | $1.75 | 197,424 | No | 4 | P | Indirect | Through Deerfield Partners, L.P. |
Common Stock | Disposition | 2017-11-30 | 110,557 | $1.75 | 0 | No | 4 | S | Indirect | Through Deerfield International Master Fund, L.P. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | Through Deerfield Partners, L.P. |
No | 4 | S | Indirect | Through Deerfield International Master Fund, L.P. |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 149,676 | Indirect | Deerfield Special Situations Fund, L.P. |
Common Stock | 877,799 | Indirect | Deerfield Private Design Fund III, L.P. |
Footnotes
- The shares listed in column 4 of Table I above were transferred by Deerfield International Master Fund, L.P. to Deerfield Partners, L.P.
- This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield International Master Fund, L.P. and Deerfield Partners, L.P. (collectively, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
- For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.