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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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    beneficially own the shares held by the Deerfield Funds. The address of Deerfield Funds is 780 Third Avenue, 37th Floor, New York, NY 10017.

(6)
Includes 655,700 shares of common stock issuable upon conversion of convertible preferred stock. Includes 307,692 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. Pharmstandard International S.A. is a wholly owned subsidiary of public joint stock company "Pharmstandard." As the parent entity Pharmstandard has voting and investment control over the shares of the Company held by Pharmstandard International S.A. Dmitry Kobyzev, our director, is the representative of Pharmstandard International S.A. Dr. Kobyzev disclaims beneficial ownership of any such shares except to the extent of his proportionate pecuniary interest therein. The address for Dr. Kobyzev and Pharmstandard International S.A. is 65, Boulevard Grande Duchesse Charlotte, L-1331 Luxembourg, Grand-Duchy of Luxembourg.

(7)
Includes 806,069 shares of common stock issuable upon conversion of convertible preferred stock and warrants to purchase 86,432 shares of common stock. Includes 27,554 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 769,944 shares of common stock issuable upon conversion of convertible preferred stock and warrants to purchase 82,212 shares of common stock. Includes 63,941 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 385,970 shares of common stock which Mr. Noyes has the right to acquire upon the exercise of stock options that were exercisable as of September 30, 2014, or that will become exercisable within 60 days after that date.

(10)
Includes 31,672 shares of common stock which Mr. Phelps has the right to acquire upon the exercise of stock options that were exercisable as of September 30, or that will become exercisable within 60 days after that date.

(11)
Includes (a) 217,860 shares of common stock and 6,741 shares of common stock issuable upon conversion of convertible preferred stock held directly by Dr. Franano, (b) 413 shares of common stock issuable upon conversion of convertible preferred stock held by Mr. Franano and Lorie Beth Whitaker, and (c) 85,239 shares of common stock which Dr. Franano has the right to acquire upon the exercise of stock options that were exercisable as of September 30, 2014, or that will become exercisable within 60 days after that date.

(12)
Includes 197,447 shares of common stock which Dr. Burke has the right to acquire upon the exercise of stock options that were exercisable as of September 30, 2014, or that will become exercisable within 60 days after that date.

(13)
Includes 61,992 shares of common stock which Mr. Gottlieb has the right to acquire upon the exercise of stock options that were exercisable as of September 30, 2014, or that will become exercisable within 60 days after that date.

(14)
Includes 888,343 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 September 30, 2014, or that will become exercisable within 60 days after that date.

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