Statement of Changes in Beneficial Ownership (4)
February 12 2021 - 6:56PM
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
*
Noonberg Sarah B. |
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 BOULEVARD, SUITE 140 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/10/2021 |
(Street)
NEWARK, CA 94560-1160
(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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Common Stock | 2/10/2021 | | A | | 4700 | A | $6.98 | 4700 | D | |
Common Stock | 2/10/2021 | | S(1) | | 4300 | D | $25.42 (2) | 400 | D | |
Common Stock | 2/10/2021 | | S(1) | | 400 | D | $26.04 (3) | 0 | D | |
Common Stock | 2/11/2021 | | A | | 3700 | A | $6.98 | 3700 | D | |
Common Stock | 2/11/2021 | | S(1) | | 3700 | D | $25.09 (4) | 0 | D | |
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) | $6.98 | 2/10/2021 | | M | | | 4700 | (5) | 5/28/2028 | Common Stock | 4700 | $0.00 | 7300 | D | |
Stock Option (right to buy) | $6.98 | 2/11/2021 | | M | | | 3700 | (5) | 5/28/2028 | Common Stock | 3700 | $0.00 | 3600 | D | |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 1, 2020. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.01 to $25.93, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.03 to $26.08, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.20, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
(5) | This option is fully vested. It vested in accordance with the following schedule: the shares subject to this option shall vest at the earlier on (i) May 29, 2019, or (ii) the date of the 2019 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 |
Noonberg Sarah B. C/O PROTAGONIST THERAPEUTICS, INC. 7707 GATEWAY BOULEVARD, SUITE 140 NEWARK, CA 94560-1160 | X |
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Signatures
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/s/ Donald Kalkofen, Attorney-in-Fact for Sarah B. Noonberg | | 2/12/2021 |
**Signature of Reporting Person | Date |
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