Protagonist Therapeutics, Inc — Director's Dealing 2016

Aug 18, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Protagonist Therapeutics, Inc (PTGX)
CIK: 0001377121
Period of Report: 2016-08-16

Reporting Person: JOHNSON & JOHNSON (10% Owner)
Reporting Person: Johnson & Johnson Innovation - JJDC, Inc. (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-08-16	Common Stock	C	965517	—	Acquired	965517	Indirect
2016-08-16	Common Stock	C	900333	—	Acquired	1865850	Indirect
2016-08-16	Common Stock	P	583333	$12.00	Acquired	2449183	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-08-16	Series B Preferred Stock	$	C	14000000	Disposed		Common Stock (965517)	Indirect
2016-08-16	Series C Preferred Stock	$	C	13054830	Disposed		Common Stock (900333)	Indirect

Footnotes

F1: Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-14.5 basis at the closing of the Issuer's initial public offering and had no expiration date.

F2: The number of shares of Common Stock reflects a 1-for-14.5 reverse stock split, which became effective on August 1, 2016. Pursuant to the reverse stock split, every 14.5 shares of Series B Preferred Stock and Series C Preferred Stock converted into one share of Common Stock at the closing of the Issuer's initial public offering, for no additional consideration.

F3: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Innovation - JJDC, Inc., a wholly-owned subsidiary of the designated Reporting Person.