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SEC Filings

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

 

EXHIBITS

 

Exhibit A

Schedule of Purchasers

 

 

Exhibit B

Form of Fifth Amended and Restated Certificate of Incorporation

 

 

Exhibit C

Disclosure Schedule

 

 

Exhibit D

Form of Investors’ Rights Agreement

 

 

Exhibit E

Form of Management Rights Letter

 

 

Exhibit F

Form of Right of First Refusal and Co-Sale Agreement

 

 

Exhibit G

Form of Voting Agreement

 

 

Exhibit H-1

Form of Legal Opinion of Company Counsel Delivered at Initial Tranche Closing

 

 

Exhibit H-2

Form of Legal Opinion of Company Counsel Delivered at Second Tranche Closing

 

 

Exhibit H-3

Form of Legal Opinion of Company Counsel Delivered at Third Tranche Closing

 

 

Exhibit I

Net Issue Election Form

 

 

Exhibit J

Form of Indemnification Agreement

 


 

EXHIBIT A

 

Schedule of Purchasers

 

Investor

Note
Conversion
Shares

Convertible
Notes
Amount
Owed ($)

Initial
Tranche
Shares

Initial
Tranche
Purchase
Price ($)

Second
Tranche
Shares

Second
Tranche
Purchase
Price ($)

Third
Tranche
Shares

Third
Tranche
Purchase
Price ($)

Aggregate
Shares

Aggregate
Purchase Price
($)

Abingworth Bioventures VI, LP
38 Jermyn Street
London SW1Y 6DN
United Kingdom

0

0

16,044,081

9,444,444.55

3,208,816

1,888,888.80

9,626,448

5,666,666.38

28,879,345

16,999,999.73

Pharmstandard International S.A.
65, Boulevard Grande Duchesse Charlotte
L-1331 Luxembourg
Grand-Duchy of Luxembourg

0

0

8,493,925

4,999,999.92

1,698,785

999,999.99

5,096,355

2,999,999.95

15,289,065

8,999,999.86

Deerfield Private Design Fund III, L.P.
780 Third Avenue, 37
th Floor
New York, NY 10017

0

0

6,134,501

3,611,110.83

1,226,900

722,222.05

3,680,701

2,166,666.73

11,042,102

6,499,999.61

Deerfield Special Situations Fund, L.P.
780 Third Avenue, 37
th Floor
New York, NY 10017

0

0

1,311,840

772,222.49

262,368

154,444.50

787,104

463,333.50

2,361,312

1,390,000.49

Deerfield Special Situations International Master Fund, L.P.
780 Third Avenue, 37
th Floor
New York, NY 10017

0

0

1,047,584

616,666.61

209,517

123,333.44

628,550

369,999.73

1,885,651

1,109,999.78

TVM Life Science Ventures VI GmbH & Co. KG
c/o TVM Capital GmbH
TVM Life Science Management GmbH
Ottostrasse 4
(Palais am Lenbachplatz)
80333 Munich / Germany
Attn:

2,081,969

918,981.32

1,645,854

968,841.84

329,171

193,768.49

987,512

581,304.87

5,044,506

2,662,896.52

 


 

Investor

Note
Conversion
Shares

Convertible
Notes
Amount
Owed ($)

Initial
Tranche
Shares

Initial
Tranche
Purchase
Price ($)

Second
Tranche
Shares

Second
Tranche
Purchase
Price ($)

Third
Tranche
Shares

Third
Tranche
Purchase
Price ($)

Aggregate
Shares

Aggregate
Purchase Price
($)

Stefan Fischer
General Partner
Chief Financial Officer
T +49 (89) 998 992 36
F +49 (89) 998 992 55

 

 

 

 

 

 

 

 

 

 

TVM Life Science Ventures VI, L.P.
75 Arlington St. Suite 500
Boston, MA 02116
U.S.A

With copies to:
c/o TVM Capital GmbH
TVM Life Science Management GmbH
Ottostrasse 4
(Palais am Lenbachplatz)
80333 Munich / Germany
Attn:
Stefan Fischer
General Partner
Chief Financial Officer
T +49 (89) 998 992 36
F +49 (89) 998 992 55

713,568

314,968.93

564,095

332,057.91

112,819

66,411.59

338,457

199,234.75

1,728,939

912,673.18

Skyline Venture Partners Qualified Purchaser Fund IV, L.P.
525 University Avenue
Suite 520
Palo Alto, CA 94301

2,196,417

969,498.88

1,736,330

1,022,101.08

347,266

204,420.22

1,041,798

613,260.65

5,321,811

2,809,280.83

Prism Venture Partners V, L.P.
117 Kendrick Street, Suite 200
Needham, MA 02494

1,534,975

677,538.22

1,213,475

714,319.34

242,695

142,863.87

728,085

428,591.61

3,719,230

1,963,313.04

Prism Venture Partners V-A,

699,014

308,545.18

552,606

325,294.84

110,521

65,058.85

331,564

195,177.14

1,693,705

894,076.01

 


 

Investor

Note
Conversion
Shares

Convertible
Notes
Amount
Owed ($)

Initial
Tranche
Shares

Initial
Tranche
Purchase
Price ($)

Second
Tranche
Shares

Second
Tranche
Purchase
Price ($)

Third
Tranche
Shares

Third
Tranche
Purchase
Price ($)

Aggregate
Shares

Aggregate
Purchase Price
($)

L.P.
117 Kendrick Street, Suite 200
Needham, MA 02494

 

 

 

 

 

 

 

 

 

 

Intersouth Partners VI, L.P.
102 City Hall Plaza, Suite 200
Durham, NC 27701

1,559,144

688,206.23

760,662

447,768.26

152,132

89,553.42

456,397

268,660.84

2,928,335

1,494,188.75

MPM Bio IV NVS Strategic Fund, LP
200 Clarendon Street, 54th Floor
Boston, MA 02116

0

0

1,765,137

1,039,058.49

353,027

207,811.47

1,059,082

623,434.98

3,177,246

1,870,304.94

Vectis Healthcare & Life Sciences Fund II, L.P.
c/o Brooke Private Equity Advisors
84 State Street, Suite 320
Boston, MA 02109

50,337

22,218.97

141,917

83,540.30

28,383

16,707.83

85,150

50,124.06

305,787

172,591.16

Devon Park Bioventures, L.P.
1400 Liberty Ridge Drive, Suite 103
Wayne, PA 19087

501,789

221,489.91

396,679

233,507.48

79,336

46,701.62

238,007

140,104.25

1,215,811

641,803.26

BVP VII Special Opportunity Fund LP
c/o Bessemer Venture Partners
1865 Palmer Avenue, Suite 104
Larchmont, NY 10538

270,145

119,242.42

213,558

125,712.20

42,712

25,142.68

128,135

75,427.44

654,550

345,524.74

Bessemer Venture Partners VII, L.P.
c/o Bessemer Venture Partners
1865 Palmer Avenue, Suite 104
Larchmont, NY 10538

160,086

70,662.29

126,553

74,496.19

25,311

14,899.48

75,932

44,697.83

387,882

204,755.79

 


 

Investor

Note
Conversion
Shares

Convertible
Notes
Amount
Owed ($)

Initial
Tranche
Shares

Initial
Tranche
Purchase
Price ($)

Second
Tranche
Shares

Second
Tranche
Purchase
Price ($)

Third
Tranche
Shares

Third
Tranche
Purchase
Price ($)

Aggregate
Shares

Aggregate
Purchase Price
($)

Bessemer Venture Partners VII Institutional L.P.
c/o Bessemer Venture Partners
1865 Palmer Avenue, Suite 104
Larchmont, NY 10538

70,038

30,914.82

55,367

32,592.12

11,073

6,518.19

33,220

19,555.16

169,698

89,580.29

Rockhill Partners, LLC
c/o James G. Clarke
6005 NW 101st Terrace
Kansas City, Missouri 64154-1764

120,714

53,283.23

95,428

56,174.27

19,086

11,235.09

57,257

33,704.68

292,485

154,397.27

Christena A. Gautreaux, Trustee of the Christena A. Gautreaux Revocable Trust u/t/a 3/8/04
200 W. 54
th St.
Kansas City, Missouri 64112

93,081

41,086.11

73,583

43,315.08

14,717

8,663.26

44,150

25,989.17

225,531

119,053.62

DeMars Pension Consulting Services, Inc.
8700 Indian Creek Pkwy
Suite 185
Overland Park, KS 66210

88,091

38,883.47

0

0

0

0

0

0

88,091

38,883.47

William P. Whitaker Trust u/t/a 3-1-1994
9825 Overbrook Ct., Leawood, KS 66206

82,013

36,200.94

64,835

38,165.52

12,967

7,633.11

38,901

22,899.31

198,716

104,898.88

Robert F. Eltonhead Trust u/t/a 12-14-95
57 Sugar Mill Drive
Osprey, Florida 34229

65,822

29,054.21

0

0

0

0

0

0

65,822

29,054.21

Patricia A. Henry, Trustee for Patricia A. Henry Trust
5735 Ward Parkway
Kansas City, Missouri 64113

56,998

25,159.33

0

0

0

0

0

0

56,998

25,159.33

Sudarshan Hebbar Trust U.T.A. dated 10-3-11

0

0.00

23,594

13,888.75

4,719

2,777.87

14,157

8,333.61

42,470

25,000.23

 


 

Investor

Note
Conversion
Shares

Convertible
Notes
Amount
Owed ($)

Initial
Tranche
Shares

Initial
Tranche
Purchase
Price ($)

Second
Tranche
Shares

Second
Tranche
Purchase
Price ($)

Third
Tranche
Shares

Third
Tranche
Purchase
Price ($)

Aggregate
Shares

Aggregate
Purchase Price
($)

4342 Rockhill Rd #3
Kansas City, MO 64110

 

 

 

 

 

 

 

 

 

 

Darcy A. Howe Trust
434 W. 56th St.
Kansas City, MO 64113

0

0.00

8,022

4,722.20

1,604

944.21

4,813

2,833.21

14,439

8,499.62

Total

10,344,201

4,565,934.46

42,469,626

25,000,000.27

8,493,925

5,000,000.03

25,481,775

14,999,999.85

86,789,527

49,565,934.61