Statement of Changes in Beneficial Ownership (4)
May 29 2020 - 6:20PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Waddill William D. |
2. Issuer Name and Ticker or Trading Symbol
Protagonist Therapeutics, Inc
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PTGX
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O PROTAGONIST THERAPEUTICS, INC., 7707 GATEWAY BLVD., SUITE 140 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/28/2020 |
(Street)
NEWARK, CA 94560
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $16.54 | 5/28/2020 | | A | | 15000 | | (1) | 5/27/2030 | Common Stock | 15000 | $0.00 | 15000 | D | |
Explanation of Responses: |
(1) | The shares subject to this option shall vest at the earlier of (i) May 28, 2021, or (ii) the date of the 2021 Annual Meeting of stockholders of the Issuer, subject to the non-employee director's continuous service with the Issuer through such dates. The shares subject to this option will vest in full upon completion of a Change in Control (as defined in the Issuer's 2016 Equity Incentive Plan). |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Waddill William D. C/O PROTAGONIST THERAPEUTICS, INC. 7707 GATEWAY BLVD., SUITE 140 NEWARK, CA 94560 | X |
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Signatures
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/s/ Donald Kalkofen, Attorney-in-Fact for William D. Waddill | | 5/29/2020 |
**Signature of Reporting Person | Date |
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