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Protagonist Therapeutics, Inc — Director's Dealing 2018
Mar 13, 2018
31163_dirs_2018-03-13_aec1be24-45bd-403e-93f4-eaa51d78e841.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Protagonist Therapeutics, Inc (PTGX)
CIK: 0001377121
Period of Report: 2018-03-12
Reporting Person: Liu David Y (Chief Scientific Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-03-12 | Common Stock | M | 3500 | $4.21 | Acquired | 18528 | Direct |
| 2018-03-12 | Common Stock | S | 3500 | $21.2857 | Disposed | 15028 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-03-12 | Employee Stock Option (right to buy) | $4.21 | M | 3500 | Disposed | 2026-04-29 | Common Stock (3500) | Direct |
Footnotes
F1: Includes 1,706 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2018.
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.