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SEC Filings

S-1
PROTEON THERAPEUTICS INC filed this Form S-1 on 09/16/2014
Entire Document
 

 

TABLE OF CONTENTS

 

 

 

Page

 

 

 

1.

PURCHASE AND SALE OF PREFERRED STOCK

1

 

 

 

 

1.1.

Sale and Issuance of Series D Preferred Stock

1

 

1.2.

Closings; Delivery

6

 

1.3.

Updates to Disclosure Schedule

8

 

1.4.

Use of Proceeds

8

 

1.5.

Special Mandatory Conversion; Limitation on Remedies

8

 

1.6.

Waiver of Preemptive Rights

9

 

1.7.

Defined Terms Used in this Agreement

9

 

1.8.

Conversion Price Adjustment

15

 

 

 

 

2.

INDIVIDUAL PURCHASE RIGHTS OF EACH PURCHASER

16

 

 

 

 

2.1.

Exercise of Individual Purchase Rights

16

 

2.2.

Closings; Delivery

21

 

 

 

 

3.

REPRESENTATIONS AND WARRANTIES OF THE COMPANY

22

 

 

 

 

3.1.

Organization, Good Standing, Corporate Power and Qualification

22

 

3.2.

Capitalization

22

 

3.3.

Subsidiaries

23

 

3.4.

Authorization

24

 

3.5.

Valid Issuance of Shares

24

 

3.6.

Governmental Consents and Filings

24

 

3.7.

Litigation

25

 

3.8.

Intellectual Property

25

 

3.9.

Compliance with Other Instruments

27

 

3.10.

Agreements; Actions

27

 

3.11.

Certain Transactions

27

 

3.12.

Rights of Registration and Voting Rights

28

 

3.13.

Absence of Liens

29

 

3.14.

Financial Statements

29

 

3.15.

Changes

29

 

3.16.

Employee Matters

31

 

3.17.

Tax Returns and Payments

32

 

3.18.

Insurance

32

 

3.19.

Confidential Information and Invention Assignment Agreements

32

 

3.20.

Permits

33

 

3.21.

Corporate Documents

33

 

3.22.

Real Property Holding Corporation

33

 

3.23.

Environmental and Safety Laws

33

 

3.24.

No General Solicitation

34

 

3.25.

Disclosure

34

 

3.26.

Regulatory Compliance

34

 

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