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SEC Filings

S-1
PROTEON THERAPEUTICS INC filed this Form S-1 on 09/16/2014
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Table of Contents


CAPITALIZATION

        The following table sets forth our cash and capitalization as of June 30, 2014 on:

    an actual basis;

    a pro forma basis to give effect to the automatic conversion of all outstanding shares of our preferred stock into an aggregate of 134,918,694 shares of common stock upon the closing of this offering, the extinguishment of the liability related to the Series D investors' purchase rights and the filing of our amended and restated certificate of incorporation upon the closing of this offering; and

    a pro forma as adjusted basis to give further effect to the sale of            shares of our common stock offered in this offering, assuming an initial public offering price of $            per share, the midpoint of the price range set forth on the cover page of this prospectus, after deducting estimated underwriting discounts and commissions and estimated offering expenses payable by us.

        You should read this table together with the information contained in this prospectus, including "Management's Discussion and Analysis of Financial Condition and Results of Operations" and the historical financial statements and related notes included elsewhere in this prospectus.

 
  As of June 30, 2014  
 
  Actual   Pro Forma   Pro Forma as
Adjusted
 
 
  (unaudited)
 
 
  (in thousands, except share and per share data)
 

Cash and cash equivalents

  $ 25,416   $ 25,416        
               
               

Convertible Preferred Stock:

                   

Series A redeemable convertible preferred stock, par value $0.001 per share; 22,638,465 shares authorized, issued and outstanding, actual; no shares authorized, issued or outstanding, pro forma and pro forma as adjusted

    35,015            

Series A-1 redeemable convertible preferred stock, par value $0.001 per share; 10,909,091 shares authorized, issued and outstanding, actual; no shares authorized, issued or outstanding, pro forma and pro forma as adjusted

    17,790            

Series B redeemable convertible preferred stock, par value $0.001 per share; 20,754,461 shares authorized, issued and outstanding, actual; no shares authorized, issued or outstanding, pro forma and pro forma as adjusted

    28,573            

Series C redeemable convertible preferred stock, par value $0.001 per share; 17,550,758 shares authorized, 13,202,932 shares issued and outstanding, actual; no shares authorized, issued or outstanding, pro forma and pro forma as adjusted

    17,982            

Series D redeemable preferred stock, par value $0.01 per share including associated investors' rights liability of $6,580; 86,789,527 shares authorized, 52,813,827 shares issued and outstanding, actual; no shares authorized issued or outstanding, pro forma and pro forma as adjusted

    31,124              
               

Total convertible preferred stock

    130,193          

Stockholders' deficit:

                   

Preferred stock, par value $0.001 per share; no shares authorized, issued and outstanding, actual,             shares authorized, no shares issued and outstanding pro forma and pro forma as adjusted

             

Common stock, par value $0.001 per share; 205,926,290 shares authorized, 3,833,606 shares issued and outstanding, actual; 205,926,290 shares authorized, 138,752,300 shares issued and outstanding, pro forma and             shares authorized,             shares issued and outstanding, pro forma as adjusted

    4     139        

Additional paid-in capital

        123,769        

Accumulated deficit

    (109,271 )   (102,691 )      

Accumulated other comprehensive income

    (23 )   (23 )      
               

Total stockholders' (deficit) equity

    (109,290 )   21,194        
               

Total capitalization

  $ 21,194   $ 21,194        
               
               

57