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


PRINCIPAL STOCKHOLDERS

        The following table sets forth information relating to the beneficial ownership of our common stock as of August 31, 2014, by: each person, or group of affiliated persons, known by us to beneficially own more than 5% of our outstanding shares of common stock; each of our directors; each of our named executive officers; and all of our directors and executive officers as a group.

        The number of shares beneficially owned by each entity, person, director or executive officer is determined in accordance with the rules of the SEC, and the information is not necessarily indicative of beneficial ownership for any other purpose. Under such rules, beneficial ownership includes any shares over which the individual has sole or shared voting power or investment power as well as any shares that the individual has the right to acquire within 60 days of August 31, 2014 through the exercise of any stock option, warrants or other rights. Except as otherwise indicated, and subject to applicable community property laws, the persons named in the table have sole voting and investment power with respect to all shares of common stock held by that person.

        The percentage of shares beneficially owned is computed on the basis of 138,752,300 shares of our common stock outstanding as of August 31, 2014, assuming for purposes of this table that all outstanding shares of our preferred stock have been converted to common stock and that the Series D convertible preferred stock converted on a one-for-one basis. For a description of the conversion, upon the completion of this offering, of shares of our Series D convertible preferred stock into shares of our common stock, see "Capitalization—Series D Convertible Preferred Stock." Shares of our common stock that a person has the right to acquire within 60 days of August 31, 2014 are deemed outstanding for purposes of computing the percentage ownership of the person holding such rights, but are not deemed outstanding for purposes of computing the percentage ownership of any other person, except with respect to the percentage ownership of all directors and executive officers as a group. Unless otherwise indicated below, the address for each beneficial owner listed is c/o Proteon Therapeutics, Inc., 200 West Street, Waltham, MA 02451.

 
  Prior to the Offering   After the Offering  
Beneficial Owner
  Number   Percent   Number   Percent  

5% Stockholders:

                         

TVM Capital and related funds(1)

    27,718,943     19.4 %            

Abingworth Bioventures VI, LP.(2)

    28,879,345     19.1              

Prism Venture Partners and related funds(3)

    22,123,673     15.6              

Skyline Venture Partners Qualified Purchaser Fund IV, L.P.(4)

    21,747,269     15.3              

Deerfield and related funds(5)

    15,289,065     10.5              

Pharmstandard International S.A.(6)

    15,289,065     10.5              

Intersouth Partners VI, L.P.(7)

    14,601,353     10.4              

MPM Bio IV NVS Strategic Fund, L.P.(8)

    14,538,532     10.3              

Directors and Named Executive Officers:

   
 
   
 
   
 
   
 
 

Timothy P. Noyes(9)

    6,125,355     4.2              

Gregory D. Phelps(10)

    502,635     *              

Hubert Birner, Ph.D.(1)

    27,718,943     19.4              

Brendan M. O'Leary, Ph.D.(3)

    22,123,673     15.6              

John G. Freund, M.D.(4)

    21,747,269     15.3              

Timothy Haines(2)

    28,879,345     19.1              

F. Nicholas Franano, M.D.(11)

    4,923,744     3.5              

Todd Foley(8)

    14,538,532     10.3              

Dmitry Kobyzev(6)

    15,289,065     10.5              

Garen Bohlin

        *              

Steven K. Burke(12)

    3,133,491     2.2              

Daniel P. Gottlieb(13)

    983,816     *              

All executive officers and directors as a group (13 persons)(14)

    147,965,868     79.5 %            

*
Indicates ownership of less than one percent.

138