Current Report Filing (8-k)
March 14 2018 - 5:01PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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Form 8-K
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CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act
of 1934
Date of Report (Date of earliest event Reported): March 14, 2018
Proteon Therapeutics, Inc.
(Exact Name of Registrant as Specified in Charter)
Delaware
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001-36694
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20-4580525
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(State or Other Jurisdiction of Incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification Number)
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200 West Street, Waltham, MA 02451
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(Address of Principal Executive Offices) (Zip Code)
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(781) 890-0102
(Registrant's telephone number, including area code)
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17
CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as defined
in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company [X]
If an emerging growth company, indicate by check mark if the registrant has elected not
to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to
Section 13(a) of the Exchange Act. [ ]
Introductory Comment
Throughout this Current Report on Form 8-K, the terms “we,” “us,”
“our”, “Company” and “Proteon” refer to Proteon Therapeutics, Inc.
Item 8.01. Other Events
On March 14, 2018, Proteon filed a prospectus supplement to update
the amount of common stock the Company may offer and sell, from time to time, pursuant to the sales agreement (the “sales
agreement”) with Cowen and Company, LLC (the “Distribution Agent”) to reflect $7,479,425 in aggregate value of
shares of its common stock that may be issued and sold from time to time through the Distribution Agent as the Company’s
sales agent. No amendment to the sales agreement was required to reflect such increase. Sales of the Company’s common stock
through the Distribution Agent, if any, will be made by any method that is deemed to be an “at the market offering”
as defined in Rule 415 promulgated under the Securities Act of 1933, as amended, pursuant to the Company’s effective shelf
registration statement on Form S-3 (File No. 333-207965) originally filed on November 12, 2015 with the Securities and Exchange
Commission (“SEC”), the base prospectus filed as part of such registration statement, and the prospectus supplement
dated March 14, 2018.
A copy of the opinion of Morgan, Lewis & Bockius relating to
the legality of the shares of common stock that may be issued pursuant to the sales agreement is attached as Exhibit 5.1 to this
Current Report on Form 8-K.
This Current Report on Form 8-K shall not constitute an offer to
sell or the solicitation of an offer to buy the securities discussed herein, nor shall there be any offer, solicitation, or sale
of the securities in any jurisdiction in which such offer, solicitation or sale would be unlawful prior to registration or qualification
under the securities laws of any such jurisdiction.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has
duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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Proteon Therapeutics, Inc.
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Date: March 14, 2018
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By:
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/s/ George A. Eldridge
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George A. Eldridge
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Senior Vice President & Chief Financial Officer
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