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: CANAAN X L.P. (Director, 10% Owner)
Reporting Person: Canaan Partners X LLC (Director, 10% Owner)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series C Preferred Stock	$		Common Stock (1869922)		Direct

Footnotes

F1: The number of shares of common stock reflects a 1-for-14.5 reverse stock split, which became effective on August 1, 2016. Each share of the Issuer's Series C Preferred Stock is convertible into the Issuer's common stock on a 1-for-14.5 basis and has no expiration date. The number of underlying shares of common stock reported in Column 3 reflects the 1-for-14.5 reverse stock split pursuant to which every 14.5 shares of Series C Preferred Stock will convert into one share of common stock of the Issuer, effective upon the closing of the Issuer's initial public offering, for no additional consideration.

F2: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Julie Papanek, a non-managing member of Canaan X, serves as representative of the Canaan Entities on the Issuer's board of directors. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.