Protagonist Therapeutics, Inc — Director's Dealing 2021

Feb 13, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Protagonist Therapeutics, Inc (PTGX)
CIK: 0001377121
Period of Report: 2021-02-10

Reporting Person: Noonberg Sarah B. (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-10	Common Stock	A	4700	$6.98	Acquired	4700	Direct
2021-02-10	Common Stock	S	4300	$25.42	Disposed	400	Direct
2021-02-10	Common Stock	S	400	$26.04	Disposed	0	Direct
2021-02-11	Common Stock	A	3700	$6.98	Acquired	3700	Direct
2021-02-11	Common Stock	S	3700	$25.09	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-10	Stock Option (right to buy)	$6.98	M	4700	Disposed	2028-05-28	Common Stock (4700)	Direct
2021-02-11	Stock Option (right to buy)	$6.98	M	3700	Disposed	2028-05-28	Common Stock (3700)	Direct

Footnotes

F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 1, 2020.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.01 to $25.93, inclusive. 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.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.03 to $26.08, inclusive. 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.20, inclusive. 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.

F5: This option is fully vested. It vested in accordance with the following schedule: the shares subject to this option shall vest at the earlier on (i) May 29, 2019, or (ii) the date of the 2019 Annual Meeting of stockholders of the Issuer, subject to the non-employee director's continuous service with the Issuer through such dates. The shares subject to this option will vest in full upon completion of a Change in Control (as defined in the Issuer's 2016 Equity Incentive Plan).