Washington, D.C. 20549



Form 8-K





Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of earliest event Reported): November 15, 2019


Proteon Therapeutics, Inc.

(Exact Name of Registrant as Specified in Charter)


Delaware 001-36694 20-4580525
(State or Other Jurisdiction of Incorporation) (Commission File Number) (I.R.S. Employer Identification Number)


200 West Street, Waltham, MA 02451
(Address of Principal Executive Offices) (Zip Code)


(781) 890-0102

(Registrant's telephone number, including area code)



(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:


  [ x ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
  [  ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
  [  ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
  [  ]

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act:


Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Stock, $0.001 par value per share PRTO Nasdaq Capital Market


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., a Delaware corporation.


Item 8.01. Other Events.


On November 15, 2019, a lawsuit entitled Patrick Plumley v. Proteon Therapeutics, Inc., et al., Case No. 1:19-cv-02143-UNA, was filed in the United States District Court for the District of Delaware against Proteon, ArTara Therapeutics, Inc. (“ArTara”), REM 1 Acquisition, Inc. (“Merger Sub”) and the individual members of Proteon’s board of directors. The Plumley complaint is brought as a purported class action lawsuit. The lawsuit alleges that the preliminary registration statement filed by Proteon on November 7, 2019 with the Securities and Exchange Commission in connection with the proposed merger of Merger Sub with and into ArTara, with ArTara surviving as a wholly owned subsidiary of Proteon, omits material information with respect to the transactions contemplated by the Agreement and Plan of Merger and Reorganization, dated as of September 23, 2019, as amended, rendering it false and misleading in violation of Sections 14(a) (and Rule 14a-9 promulgated thereunder) and 20(a) of the Securities Exchange Act of 1934, as amended. The plaintiff seeks, among other things, injunctive relief, rescission, declaratory relief and unspecified monetary damages. Proteon intends to defend vigorously against all claims asserted.









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.


  Proteon Therapeutics, Inc.  
Date: November 21, 2019 By:  /s/ George A. Eldridge  
    George A. Eldridge  
    Senior Vice President & Chief Financial Officer