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Filing Details

Accession Number:: 0001012975-14-000687
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-10-29 16:56:42
Reporting Period:: 2014-10-27

Filing Date:: 2014-10-29
Accepted Time:: 2014-10-29 16:56:42
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1359931	Proteon Therapeutics Inc	PRTO	Biological Products, (No Disgnostic Substances) (2836)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1500269	Brendan O'leary	C/O Prism Venture Partners 75 Second Avenue, Suite 210 Needham MA 02494		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-10-27	374,921	$0.00	374,921	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-10-27	180,014	$0.00	554,935	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-10-27	181,125	$0.00	736,060	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-10-27	192,070	$0.00	928,130	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-10-27	252,052	$0.00	1,180,182	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-10-27	123,846	$0.00	1,304,028	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-10-27	83,170	$10.00	1,387,198	No	4	P	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	P	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Convertible Preferred Stock	Disposition	2014-10-27	5,000,000	$0.00	374,921	$0.00
Common Stock	Series A-1 Convertible Preferred Stock	Disposition	2014-10-27	2,341,664	$0.00	180,014	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2014-10-27	2,336,956	$0.00	181,125	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2014-10-27	2,478,183	$0.00	192,070	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2014-10-27	4,000,070	$0.00	252,052	$0.00
Common Stock	Common Stock Warrants	Disposition	2014-10-27	1,965,454	$0.00	123,846	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	D	Indirect

Footnotes

The Series A Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.19 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
The Series A-1 Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.22 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
The Series B Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.23 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
The Series C Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1.23 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
The Series D Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1 basis (after giving effect to the 1-for-15.87 reverse stock split effected by the Issuer on October 6, 2014) upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
The Common Stock Warrants were exercised as a disposition to the Issuer and converted to shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration and has no expiration date.
Consists of securities held directly by Prism Venture Partners V, L.P. ("PVP V") and Prism Venture Partners V-A, L.P. ("PVP V-A"). Prism Investment Partners V, L.P. ("PIP V") is the sole general partner of PVP V and PVP V-A. Prism Venture Partners V, LLC ("PVP LLC") is the sole general partner of PIP V. Brendan O'Leary ("O'Leary") is a member of PVP LLC. O'Leary may be deemed to beneficially own the shares held by PVP V and PVP V-A, but O'Leary disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.