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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

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

(7)
Includes 12,621,134 shares of common stock issuable upon conversion of convertible preferred stock and warrants to purchase 1,371,690 shares of common stock. Includes 608,529 shares of common stock issuable upon conversion of convertible preferred stock that the holder has the right to acquire, which right cannot be exercised during the period commencing on the date that the Company submits a registration statement on Form S-1 to the SEC and ending in the earlier of (a) the third business day following the withdrawal of such registration statement on Form S-1 in connection with any abandonment of the IPO and (b) the closing of the IPO. Dennis J. Dougherty and Mitchell Mumma are the managing partners of Intersouth Associates VI, LLC, the general partner of Intersouth Partners VI, L.P. Each of the managing partners disclaims beneficial ownership of any such shares except to the extent of his proportionate pecuniary interest therein. The address for Intersouth Partners VI, L.P. is 102 City Hall Plaza, Suite 200, Durham, NC 27701.

(8)
Includes 11,821,710 shares of common stock issuable upon conversion of convertible preferred stock and warrants to purchase 1,304,713 shares of common stock. Includes 1,412,109 shares of common stock issuable upon conversion of convertible preferred stock that the holder has the right to acquire, which right cannot be exercised during the period commencing on the date that the Company submits a registration statement on Form S-1 to the SEC and ending in the earlier of (a) the third business day following the withdrawal of such registration statement on Form S-1 in connection with any abandonment of the IPO and (b) the closing of the IPO. Todd Foley, our director, is a Member of MPM BioVentures IV LLC, which is the General Partner of MPM BioVentures IV GP LLC, which is the General Partner of MPM Bio IV NVS Strategic Fund, L.P. Mr. Foley shares the power to vote, hold and dispose of the shares held by MPM Bio IV NVS Strategic Fund, L.P. Mr. Foley disclaims beneficial ownership of any such shares except to the extent of his proportionate pecuniary interest therein. The address for Mr. Foley and MPM Bio IV NVS Strategic Fund, L.P. is 200 Clarendon Street, 54th Floor, Boston, MA 02116.

(9)
Includes 6,125,355 shares of common stock which Mr. Noyes has the right to acquire upon the exercise of stock options that were exercisable as of August 31, 2014, or that will become exercisable within 60 days after that date.

(10)
Includes 502,635 shares of common stock which Mr. Phelps has the right to acquire upon the exercise of stock options that were exercisable as of August 31, 2014, or that will become exercisable within 60 days after that date.

(11)
Includes (a) 3,457,453 shares of common stock and 88,666 shares of common stock issuable upon conversion of convertible preferred stock held directly by Dr. Franano, (b) 6,567 shares of common stock issuable upon conversion of convertible preferred stock held by Mr. Franano and Lorie Beth Whitaker, and (c) 1,352,757 shares of common stock which Dr. Franano has the right to acquire upon the exercise of stock options that were exercisable as of August 31, 2014, or that will become exercisable within 60 days after that date.

(12)
Includes 3,133,491 shares of common stock which Dr. Burke has the right to acquire upon the exercise of stock options that were exercisable as of August 31, 2014, or that will become exercisable within 60 days after that date.

(13)
Includes 983,816 shares of common stock which Mr. Gottlieb has the right to acquire upon the exercise of stock options that were exercisable as of August 31, 2014, or that will become exercisable within 60 days after that date.

(14)
Includes 14,098,054 shares of common stock which the directors and executive officers have the right to acquire upon the exercise of stock options that were exercisable as of August 31, 2014, or that will become exercisable within 60 days after that date.

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