Protagonist Therapeutics, Inc — Director's Dealing 2017

Jul 12, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Protagonist Therapeutics, Inc (PTGX)
CIK: 0001377121
Period of Report: 2017-07-10

Reporting Person: Liu David Y (Chief Scientific Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-07-10	Common Stock	M	3500	$1.89	Acquired	5500	Direct
2017-07-10	Common Stock	S	3500	$12.68	Disposed	2000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-07-10	Employee Stock Option (right to buy)	$1.89	M	3500	Disposed	2024-10-22	Common Stock (3500)	Direct

Footnotes

F1: Includes 2,000 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.36 to $12.84. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

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.