0001209191-16-137314.txt : 20160816 0001209191-16-137314.hdr.sgml : 20160816 20160816181950 ACCESSION NUMBER: 0001209191-16-137314 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160816 FILED AS OF DATE: 20160816 DATE AS OF CHANGE: 20160816 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Protagonist Therapeutics, Inc CENTRAL INDEX KEY: 0001377121 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 521 COTTONWOOD DRIVE, SUITE 100 CITY: MALPITAS STATE: CA ZIP: 95035-7404 BUSINESS PHONE: 408-649-7370 MAIL ADDRESS: STREET 1: 521 COTTONWOOD DRIVE, SUITE 100 CITY: MALPITAS STATE: CA ZIP: 95035-7404 FORMER COMPANY: FORMER CONFORMED NAME: Protagonist Therapeutics Inc DATE OF NAME CHANGE: 20130605 FORMER COMPANY: FORMER CONFORMED NAME: Protagonist Inc DATE OF NAME CHANGE: 20061002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hall Steven Edward CENTRAL INDEX KEY: 0001602732 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37852 FILM NUMBER: 161837076 MAIL ADDRESS: STREET 1: 15001 BARNHARDT CT CITY: CHAPEL HILL STATE: NC ZIP: 27517 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Torres S. Edward CENTRAL INDEX KEY: 0001552293 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37852 FILM NUMBER: 161837077 MAIL ADDRESS: STREET 1: C/O LILLY VENTURES FUND I LLC STREET 2: 115 W. WASHINGTON ST, STE 1680 SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lilly Ventures Fund I LLC CENTRAL INDEX KEY: 0001575852 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37852 FILM NUMBER: 161837078 BUSINESS ADDRESS: STREET 1: 115 W WASHINGTON STREET STREET 2: SUITE 1680 SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 BUSINESS PHONE: (317) 429-0140 MAIL ADDRESS: STREET 1: 115 W WASHINGTON STREET STREET 2: SUITE 1680 SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LV Management Group, LLC CENTRAL INDEX KEY: 0001681884 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37852 FILM NUMBER: 161837079 BUSINESS ADDRESS: STREET 1: 115 WEST WASHINGTON STREET STREET 2: SUITE 1680 - SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 BUSINESS PHONE: (317) 429-0140 MAIL ADDRESS: STREET 1: 115 WEST WASHINGTON STREET STREET 2: SUITE 1680 - SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-08-16 0 0001377121 Protagonist Therapeutics, Inc PTGX 0001681884 LV Management Group, LLC 115 WEST WAHINGTON STREET SUITE 1680-SOUTH INDIANAPOLIS IN 46204 0 0 1 0 0001575852 Lilly Ventures Fund I LLC 115 WEST WASHINGTON STREET SUITE 1680-SOUTH INDIANAPOLIS IN 46204 0 0 1 0 0001552293 Torres S. Edward C/O LILLY VENTURES 115 WEST WASHINGTON ST., STE.1680-SOUTH INDIANAPOLIS IN 46204 0 0 1 0 0001602732 Hall Steven Edward C/O LILLY VENTURES 115 WEST WASHINGTON ST., STE. 1680-SOUTH INDIANAPOLIS IN 46204 0 0 1 0 Common Stock 2016-08-16 4 C 0 206896 A 206896 I By Fund Common Stock 2016-08-16 4 C 0 630541 A 837437 I By Fund Common Stock 2016-08-16 4 C 0 678712 A 1516149 I By Fund Common Stock 2016-08-16 4 P 0 583333 12.00 A 2099482 I By Fund Series A Preferred Stock 2016-08-16 4 C 0 3000000 0.00 D Common Stock 206896 0 I By Fund Series B Preferred Stock 2016-08-16 4 C 0 9142857 0.00 D Common Stock 630541 0 I By Fund Series C Preferred Stock 2016-08-16 4 C 0 9841333 0.00 D Common Stock 678712 0 I By Fund Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock, and Series C Preferred Stock automatically converted into the Issuer's common stock on a 1-for-14.5 basis at the closing of the Issuer's initial public offering and had no expiration date. These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Steve Hall and Armen Shanafelt. Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of his or its respective proportionate pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. LV Management Group, LLC, by: S. Edward Torres, Managing Director 2016-08-16 Lilly Ventures Fund I, LLC, by LV Management Group, LLC, its Management Company, by: /s/ S. Edward Torres, Managing Director 2016-08-16 /s/ S. Edward Torres 2016-08-16 /s/ Steven E. Hall 2016-08-16