Protagonist Therapeutics, Inc — Director's Dealing 2016

Aug 11, 2016

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Protagonist Therapeutics, Inc (PTGX)
CIK: 0001377121
Period of Report: 2016-08-10

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)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A Preferred Stock	$		Common Stock (206896)		Indirect
Series B Preferred Stock	$		Common Stock (630541)		Indirect
Series C Preferred Stock	$		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 is convertible into the Issuer's common stock on a 1-for-14.5 basis and has 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.