0000899243-16-013609.txt : 20160217 0000899243-16-013609.hdr.sgml : 20160217 20160217184631 ACCESSION NUMBER: 0000899243-16-013609 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160217 FILED AS OF DATE: 20160217 DATE AS OF CHANGE: 20160217 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PROTEOSTASIS THERAPEUTICS, INC. CENTRAL INDEX KEY: 0001445283 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 200 TECHNOLOGY SQUARE CITY: CAMBRIDGE STATE: MA ZIP: 02139 BUSINESS PHONE: 617-225-0096 MAIL ADDRESS: STREET 1: 200 TECHNOLOGY SQUARE CITY: CAMBRIDGE STATE: MA ZIP: 02139 FORMER COMPANY: FORMER CONFORMED NAME: PROTEOSTASIS THERAPEUTICS INC DATE OF NAME CHANGE: 20080916 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERGER FRANKLIN M CENTRAL INDEX KEY: 0001273885 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37695 FILM NUMBER: 161435548 MAIL ADDRESS: STREET 1: 1000 MARINA BLVD STREET 2: STE 200 CITY: BRISBANE STATE: CA ZIP: 94005 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-17 0 0001445283 PROTEOSTASIS THERAPEUTICS, INC. PTI 0001273885 BERGER FRANKLIN M 200 TECHNOLOGY SQUARE, 4TH FLOOR CAMBRIDGE MA 02139 1 0 0 0 Common Stock 2016-02-17 4 C 0 71932 A 71932 D Common Stock 2016-02-17 4 P 0 25000 8.00 A 96932 D Series B Convertible Redeemable Preferred Stock 2016-02-17 4 C 0 777604 D Common Stock 71932 0 D This transaction represents the total number of shares of Issuer Common Stock received upon the conversion of the Issuer's Series B Convertible Redeemable Preferred Stock (the "Series B Shares"). These securities were purchased in the initial public offering of the Issuer. The Series B Shares automatically converted into Issuer Common Stock on a 10.8102-to-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Series B Shares were convertible at any time at the election of the Reporting Person and had no expiration date. /s/ Janet L. Smart, Attorney-in-Fact 2016-02-17