Protagonist Therapeutics, Inc — Director's Dealing 2017

Nov 16, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Protagonist Therapeutics, Inc (PTGX)
CIK: 0001377121
Period of Report: 2017-11-13

Reporting Person: Liu David Y (Chief Scientific Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-11-13	Common Stock	M	3500	$4.21	Acquired	7322	Direct
2017-11-13	Common Stock	S	3500	$16.9659	Disposed	3822	Direct
2017-11-13	Common Stock	M	3500	$1.89	Acquired	7322	Direct
2017-11-13	Common Stock	S	3500	$16.9659	Disposed	3822	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-11-13	Employee Stock Option (right to buy)	$4.21	M	3500	Disposed	2026-04-29	Common Stock (3500)	Direct
2017-11-13	Employee Stock Option (right to buy)	$1.89	M	3500	Disposed	2024-10-22	Common Stock (3500)	Direct

Footnotes

F1: Includes 1,822 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on September 8, 2017.

F2: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2017.

F3: The option vests over a four-year period, with 1/48th of the shares subject to the option vesting on the last day of each month following the vesting commencement date, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.

F4: The option vests over a four-year period, with 1/4th of the shares subject to the option vesting on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option vesting each month, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.