Protagonist Therapeutics, Inc — Director's Dealing 2016

Aug 17, 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: LV Management Group, LLC (10% Owner)
Reporting Person: Lilly Ventures Fund I LLC (10% Owner)
Reporting Person: Torres S. Edward (10% Owner)
Reporting Person: Hall Steven Edward (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-08-16	Common Stock	C	206896	—	Acquired	206896	Indirect
2016-08-16	Common Stock	C	630541	—	Acquired	837437	Indirect
2016-08-16	Common Stock	C	678712	—	Acquired	1516149	Indirect
2016-08-16	Common Stock	P	583333	$12.00	Acquired	2099482	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-08-16	Series A Preferred Stock	$	C	3000000	Disposed		Common Stock (206896)	Indirect
2016-08-16	Series B Preferred Stock	$	C	9142857	Disposed		Common Stock (630541)	Indirect
2016-08-16	Series C Preferred Stock	$	C	9841333	Disposed		Common Stock (678712)	Indirect

Footnotes

F1: Each share of the Issuer's Series A Preferred Stock, 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: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Steve Hall and Armen Shanafelt. Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of his or its respective proportionate pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.