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SEC Filings

SC 13D/A
FLYNN JAMES E filed this Form SC 13D/A on 12/04/2017
Entire Document
 

 

 

Page 12 of 17

 

This Amendment No. 3 (this “Amendment”) to Schedule 13D amends the Schedule 13D (as previously amended, the “Schedule 13D”) filed by (i) Deerfield Mgmt, L.P. (“Deerfield Mgmt”), (ii) Deerfield Management Company, L.P. (“Deerfield Management”), (iii) Deerfield Mgmt III, L.P. (“Deerfield Mgmt III”), (iv) Deerfield Special Situations Fund, L.P. (“Deerfield Special Situations Fund”), (v) Deerfield Partners, L.P. (“Deerfield Partners”), (vi) Deerfield International Master Fund, L.P. (“Deerfield International Master Fund”), (vii) Deerfield Private Design Fund III, L.P. (“Deerfield Private Design Fund III”), (viii) Deerfield Private Design Fund IV, L.P. (“Deerfield Private Design Fund IV”), (ix) Deerfield Mgmt, L.P. (“Deerfield Mgmt IV”) and (x) James E. Flynn (“Flynn” and, collectively with Deerfield Mgmt, Deerfield Management, Deerfield Mgmt III, Deerfield Special Situations Fund, Deerfield Partners, Deerfield International Master Fund, Deerfield Private Design Fund III, Deerfield Private Design Fund IV and Deerfield Mgmt IV, the “Reporting Persons”), with respect to the securities of Proteon Therapeutics, Inc., as amended by Amendment Nos. 1 and 2 to the Schedule 13D filed on August 4, 2017 and August 22, 2017. Deerfield Special Situations Fund, Deerfield Partners, Deerfield International Master Fund, Deerfield Private Design Fund III and Deerfield Private Design Fund IV are collectively referred to herein as the “Funds”.

 

Capitalized terms used herein but not otherwise defined herein shall have the meanings ascribed to them in the Schedule 13D.

 

Item 3.Source and Amount of Funds or Other Consideration.

 

Item 3 of the Schedule 13D is hereby amended by adding the following:

 

On December 1, 2017, Deerfield Partners purchased from Deerfield International Master Fund 110,557 shares of Common Stock in a private transaction for an aggregate purchase price of $193,474.75. Deerfield Partners utilized cash on hand to fund the purchase price for such shares.

 

Item 5.Interests in Securities of the Issuer

 

Items 5(a), (b) (c) and (e) of the Schedule 13D are hereby amended and restated as follows:

 

(a)

 

(1) Deerfield Management

 

Number of shares: 17,306,917

Percentage of shares: 9.985%*

 

(2) Deerfield Mgmt

 

Number of shares: 347,100

Percentage of shares: 1.97%*

 

(3) Deerfield Mgmt III

 

Number of Shares: 877,799

Percentage of Shares: 4.98%*