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SEC Filings

S-1/A
PROTEON THERAPEUTICS INC filed this Form S-1/A on 10/07/2014
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Table of Contents

percentage of common stock beneficially owned after this offering will differ from that set forth in the table below.

 
   
  Percentage of Shares Beneficially Owned  
Beneficial Owner
  Number of Shares
Beneficially
Owned
  Before
Offering
  After
Offering
 

5% Stockholders:

                   

Abingworth Bioventures VI, LP.(1)

    1,819,743     18.3 %   12.4 %

TVM Capital and related funds(2)

    1,746,617     18.2     12.2  

Prism Venture Partners and related funds(3)

    1,394,048     14.6     9.8  

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

    1,370,334     14.4     9.6  

Pharmstandard International S.A.(6)

    963,392     10.0     6.7  

Deerfield and related funds(5)

    963,389     10.0     6.7  

Intersouth Partners VI, L.P.(7)

    920,055     9.7     6.5  

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

    916,097     9.7     6.5  

Directors and Named Executive Officers:

   
 
   
 
   
 
 

Timothy P. Noyes(9)

    385,970     4.0     2.7  

Gregory D. Phelps(10)

    31,672     *     *  

Hubert Birner, Ph.D.(1)

    1,746,617     18.2     12.2  

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

    1,394,048     14.6     9.8  

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

    1,370,334     14.4     9.6  

Timothy Haines(2)

    1,819,743     18.3     12.4  

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

    310,253     3.3     2.2  

Todd Foley(8)

    916,097     9.7     6.5  

Dmitry Kobyzev(6)

    963,392     10.0     6.7  

Garen Bohlin

        *     *  

Steven K. Burke(12)

    197,447     2.1     1.4  

Daniel P. Gottlieb(13)

    61,992     *     *  

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

    9,323,588     78.5 %   56.2 %

*
Indicates ownership of less than one percent.

(1)
Includes 1,238,547 shares of common stock issuable upon conversion of convertible preferred stock. Includes 581,196 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. Abingworth Bioventures VI GP LP, a Scottish limited partnership, serves as the general partner of Abingworth Bioventures VI LP ("ABV VI"). Abingworth General Partner VI LLP, an English limited liability partnership, serves as the general partner of Abingworth Bioventures VI GP LP. ABV VI (acting by its general partner Abingworth Bioventures VI GP LP, acting by its general partner Abingworth General Partner VI LLP) has delegated to Abingworth LLP, an English limited liability partnership, all investment and dispositive power over the securities held by ABV VI. An investment committee of Abingworth LLP, comprised of Joseph Anderson, Michael F. Bigham, Stephen W. Bunting, Genghis Lloyd-Harris, and Timothy Haines, our director, approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the securities held by ABV VI. Each of Abingworth Bioventures VI GP LP, Abingworth General Partner VI LLP, Joseph Anderson, Michael F. Bigham, Stephen W. Bunting, Genghis Lloyd-Harris, and Timothy Haines disclaims beneficial ownership of the securities held by the ABV VI except to the extent of their proportionate pecuniary interest therein. The address of the principal place of business of each of the entities and individuals listed above is c/o Abingworth LLP, Princes House, 38 Jermyn Street, London, England SW1Y 6DN.

(2)
Includes (a) 1,124,660 shares of common stock issuable upon conversion of convertible preferred stock and warrants to purchase 116,511 shares of common stock held by TVM Life Science Ventures VI GmbH & Co. KG and (b) 385,461 shares of common stock issuable upon conversion of convertible preferred stock and warrants to purchase 39,932 shares of common stock held by TVM Life Science Ventures VI L.P. Includes 59,620 shares of common stock issuable upon conversion of convertible preferred stock and 20,433 shares of common stock issuable upon conversion of convertible preferred stock that TVM Life Science Ventures VI GmbH & Co. KG and TVM Life Science Ventures VI L.P., respectively, have 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

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