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
  1. The shares listed in column 4 of Table I above were transferred by Deerfield International Master Fund, L.P. to Deerfield Partners, L.P.
  2. 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.
  3. 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.