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SEC Filings

10-Q
PROTEON THERAPEUTICS INC filed this Form 10-Q on 08/07/2017
Entire Document
 
 

 

EXHIBIT INDEX

 

Exhibit
No.
    Description
       
3.1     Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock, dated August 1, 2017 (incorporated by reference to Exhibit 3.1 of Current Report on Form 8-K, filed on August 3, 2017)
       
3.2     Second Amended and Restated By-laws of Proteon Therapeutics, Inc. (incorporated by reference to Exhibit 3.2 of Current Report on Form 8-K, filed on August 3, 2017)
       
4.1     Fifth Amended and Restated Investors’ Rights Agreement, dated June 22, 2017, by and among Proteon Therapeutics, Inc. and the stockholders party thereto (incorporated by reference to Exhibit 4.18 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.2     Registration Rights Agreement, dated as of August 2, 2017 by and between Proteon Therapeutics, Inc. and the Investors party thereto (incorporated by reference to Exhibit 4.1 of Current Report on Form 8-K, filed on August 3, 2017)
       
4.3     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and Abingworth Bioventures VI, LP (incorporated by reference to Exhibit 4.5 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.4     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and Deerfield International Master Fund, L.P. (incorporated by reference to Exhibit 4.6 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.5     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and Deerfield Partners, L.P. (incorporated by reference to Exhibit 4.7 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.6     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and Deerfield Special Situations Fund, L.P. (incorporated by reference to Exhibit 4.8 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.7     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and Deerfield Private Design Fund III, L.P. (incorporated by reference to Exhibit 4.9 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.8     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and Intersouth Partners VI, L.P. (incorporated by reference to Exhibit 4.10 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.9     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and MPM Bio IV NVS Strategic Fund, L.P. (incorporated by reference to Exhibit 4.11 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.10     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and Pharmstandard International S.A. (incorporated by reference to Exhibit 4.12 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.11     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and Prism Venture Partners V, LP (incorporated by reference to Exhibit 4.13 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.12     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and Prism Venture Partners V-A, LP (incorporated by reference to Exhibit 4.14 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.13     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and Skyline Venture Partners Qualified Purchaser Fund IV, LP (incorporated by reference to Exhibit 4.15 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.14     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and TVM Science Ventures VI GmbH & Co. KG (incorporated by reference to Exhibit 4.16 of Current Report on Form 8-K, filed on June 23, 2017)
       
4.15     Voting Agreement, dated June 22, 2017, by and between Proteon Therapeutics, Inc. and TVM Life Science Ventures VI LP (incorporated by reference to Exhibit 4.17 of Current Report on Form 8-K, filed on June 23, 2017)
       
10.1     Securities Purchase Agreement, dated as of June 23, 2017, by and among the Company and the purchasers party thereto (incorporated by reference to Exhibit 10.20 of Current Report on Form 8-K, filed on June 23, 2017)
       
10.2     Amended and Restated 2014 Equity Incentive Plan of Proteon Therapeutics, Inc. (incorporated by reference to Exhibit 10.1 of Current Report on Form 8-K, filed on August 3, 2017)
       
31.1   * Certification of Principal Executive Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended.
       
31.2   * Certification of Principal Financial Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended.
       
32.1   ** Certification of Principal Executive Officer and Principal Financial Officer Required Under Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended, and 18 U.S.C. §1350.
       
101   * Interactive Data Files Pursuant to Rule 405 of Regulation S-T: (i) the Condensed Consolidated Balance Sheets as of June 30, 2017 (unaudited) and the Consolidated Balance Sheets as of December 31, 2016; (ii) the Condensed Consolidated Statements of Operations and Comprehensive Loss (unaudited) for the three and six months ended June 30, 2017 and 2016; and (iii) the Condensed Consolidated Statements of Cash Flows (unaudited) for the six months ended June 30, 2017 and 2016; and (iv) the notes to the Condensed Consolidated Financial Statements (unaudited).

 

 

 

 

*Exhibits filed herewith

** Exhibits furnished herewith.

 

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