TARA

SEC source: 0001209191-20-008531 · doc4.xml · derivative · entry 1

Davis Blaine · CIK 0001802188 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,000

Underlying: Common Stock · 94,000 shares

Expires 2030-02-10

F1 · derivative.exercise_date: 25% of the shares subject to the option vesting upon Mr. Davis's completion of one year of service measured from the grant date and the balance of the shares vesting monthly thereafter for the next three years.

SEC source: 0001209191-20-003235 · doc4.xml · nonDerivative · entry 1

Levy Richard S · CIK 0001454983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of Issuer's common stock. 50% of the shares vest on January 10, 2021 and 1/24th of the shares vest monthly thereafter. Settlement for the RSUs is deferred until the earliest to occur of (i) the Reporting Person's termination of service, (ii) death, (iii) disability and (iv) a change in control of the Issuer. In the event of a change in control of the Issuer, the RSUs will vest in full.

SEC source: 0001209191-20-003233 · doc4.xml · nonDerivative · entry 2

Zummo Jacqueline · CIK 0001798929 · Sr. Vice President, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,113

F3 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of Issuer's common stock. 25% of the shares vest on each one-year anniversary of January 10, 2020.

SEC source: 0001209191-20-003237 · doc4.xml · nonDerivative · entry 1

Solomon Michael Edward · CIK 0001799320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,500

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. 50% of the shares vest on January 10, 2021 and 1/24th of the shares vest monthly thereafter. Settlement for the RSUs is deferred until the earliest to occur of (i) the Reporting Person's termination of service, (ii) death, (iii) disability and (iv) a change in control of the Issuer. In the event of a change in control of the Issuer, the RSUs will vest in full.

SEC source: 0001209191-20-003243 · doc4.xml · nonDerivative · entry 1

Braunstein Scott · CIK 0001643875 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,500

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. 3/24th of the shares were vested upon grant and 1/24th of the shares vest monthly thereafter, beginning on February 10, 2020. Settlement for the RSUs is deferred until the earliest to occur of (i) the Reporting Person's termination of service, (ii) death, (iii) disability and (iv) a change in control of the Issuer. In the event of a change in control of the Issuer, the RSUs will vest in full.

SEC source: 0001209191-20-003239 · doc4.xml · nonDerivative · entry 1

GARCEAU ROGER · CIK 0001451767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. 3/24th of the shares were vested upon grant and 1/24th of the shares vest monthly thereafter, beginning on February 10, 2020. Settlement for the RSUs is deferred until the earliest to occur of (i) the Reporting Person's termination of service, (ii) death, (iii) disability and (iv) a change in control of the Issuer. In the event of a change in control of the Issuer, the RSUs will vest in full.

SEC source: 0001209191-20-003241 · doc4.xml · nonDerivative · entry 1

SARGEN GREGORY · CIK 0001227835 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of Issuer's common stock. 50% of the shares vest on January 10, 2021 and 1/24th of the shares vest monthly thereafter. Settlement for the RSUs is deferred until the earliest to occur of (i) the Reporting Person's termination of service, (ii) death, (iii) disability and (iv) a change in control of the Issuer. In the event of a change in control of the Issuer, the RSUs will vest in full.

SEC source: 0001209191-20-003231 · doc4.xml · nonDerivative · entry 1

Casoy Julio · CIK 0001799076 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,500

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of Issuer's common stock. 25% of the shares vest on each one-year anniversary of January 10, 2020.

SEC source: 0001209191-20-003221 · doc4.xml · nonDerivative · entry 1

BESHAR LUKE M · CIK 0001192128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,000

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. 3/24th of the shares were vested upon grant and 1/24th of the shares vest monthly thereafter, beginning on February 10, 2020. Settlement for the RSUs is deferred until the earliest to occur of (i) the Reporting Person's termination of service, (ii) death, (iii) disability and (iv) a change in control of the Issuer. In the event of a change in control of the Issuer, the RSUs will vest in full.

SEC source: 0001209191-20-003223 · doc4.xml · derivative · entry 3

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,250

Underlying: Common Stock · 111,250 shares

Expires 2030-01-09

F4 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 10, 2020 and 1/48th of the shares vesting monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

SEC source: 0001209191-20-003223 · doc4.xml · nonDerivative · entry 2

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 840,274

F3 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of Issuer's common stock. 25% of the shares vest on each one-year anniversary of January 10, 2020.

SEC source: 0001209191-20-010143 · doc4a.xml · derivative · entry 1

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,250

Underlying: Common Stock · 111,250 shares

Expires 2030-01-09

F1 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 10, 2020 and 1/48th of the shares vesting monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

SEC source: 0001209191-20-035849 · doc4a.xml · nonDerivative · entry 1

Solomon Michael Edward · CIK 0001799320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,500

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. 3/24th of the shares were vested upon grant and 1/24th of the shares vest monthly thereafter, beginning on February 10, 2020. Settlement for the RSUs is deferred until the earliest to occur of (i) the Reporting Person's termination of service, (ii) death, (iii) disability and (iv) a change in control of the Issuer. In the event of a change in control of the Issuer, the RSUs will vest in full.

SEC source: 0001209191-20-003233 · doc4.xml · derivative · entry 5

Zummo Jacqueline · CIK 0001798929 · Sr. Vice President, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,537

Underlying: Common Stock · 9,537 shares

Expires 2019-09-16

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F7 · price: Received in the Merger in exchange for an employee stock option to acquire 50,000 shares of ArTara Sub Common Stock for $1.75 per share.

F8 · derivative.exercise_date: 22,000 (44%) of the shares subject to the option shall vest immediately. The remaining 28,000 shares shall vest in twenty seven (27) approximately equal increments beginning on the first day of the first calendar month following the Date of Grant, September 17, 2019, and then on the first day of each of the next twenty six (26) months thereafter a ("Vesting Date"), if Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being December 1, 2021, all of the Option Shares which had not vested by then will vest and become exercisable).

SEC source: 0001209191-20-003233 · doc4.xml · derivative · entry 4

Zummo Jacqueline · CIK 0001798929 · Sr. Vice President, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,537

Underlying: Common Stock · 9,537 shares

Expires 2028-12-31

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F7 · price: Received in the Merger in exchange for an employee stock option to acquire 50,000 shares of ArTara Sub Common Stock for $1.75 per share.

F6 · derivative.exercise_date: The shares subject to the option shall vest in forty eight (48) approximately equal increments of one thousand forty one (1,041) shares beginning on the first day of the first calendar month following January 1, 2019, and then on the first day of each of the next forty seven (47) months thereafter (each a "Vesting Date"), if Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being December 1, 2022), all of the Option Shares which had not vested by then (being not less than 1,073 Option Shares) will vest and become exercisable.

SEC source: 0001209191-20-003233 · doc4.xml · derivative · entry 3

Zummo Jacqueline · CIK 0001798929 · Sr. Vice President, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,075

Underlying: Common Stock · 19,075 shares

Expires 2028-07-11

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F5 · price: Received in the Merger in exchange for an employee stock option to acquire 100,000 shares of ArTara Sub Common Stock for $1.75 per share.

F4 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following August 1, 2018, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003233 · doc4.xml · nonDerivative · entry 1

Zummo Jacqueline · CIK 0001798929 · Sr. Vice President, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,613

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F2 · price: These shares were received in exchange for 150,000 shares of ArTara Sub Common Stock in connection with the Merger.

SEC source: 0001209191-20-003237 · doc4.xml · derivative · entry 5

Solomon Michael Edward · CIK 0001799320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,491

Underlying: Common Stock · 10,491 shares

Expires 2029-04-28

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F10 · price: Received in the Merger in exchange for a stock option to acquire 55,000 shares of ArTara Sub common stock for $1.75 per share.

F9 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following April 29, 2019, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003237 · doc4.xml · derivative · entry 4

Solomon Michael Edward · CIK 0001799320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,676

Underlying: Common Stock · 6,676 shares

Expires 2028-12-31

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F8 · price: Received in the Merger in exchange for a stock option to acquire 35,000 shares of ArTara Sub common stock for $1.75 per share.

F7 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following January 1, 2019, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003237 · doc4.xml · derivative · entry 3

Solomon Michael Edward · CIK 0001799320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,861

Underlying: Common Stock · 2,861 shares

Expires 2028-07-11

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F6 · price: Received in the Merger in exchange for a stock option to acquire 15,000 shares of ArTara Sub common stock for $1.75 per share.

F5 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following August 1, 2018, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003237 · doc4.xml · derivative · entry 2

Solomon Michael Edward · CIK 0001799320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,537

Underlying: Common Stock · 9,537 shares

Expires 2028-05-24

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F4 · price: Received in the Merger in exchange for a stock option to acquire 50,000 shares of ArTara Sub common stock for $1.75 per share.

F3 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following June 1, 2018, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003225 · doc4.xml · nonDerivative · entry 1

Marshall Randall · CIK 0001799325 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 654,020

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F2 · price: These shares were received in exchange for 3,428,572 shares of ArTara Sub Common Stock in connection with the Merger.

SEC source: 0001209191-20-003243 · doc4.xml · derivative · entry 6

Braunstein Scott · CIK 0001643875 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,737

Underlying: Common Stock · 15,737 shares

Expires 2029-04-28

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F10 · price: Received in the Merger in exchange for a stock option to acquire 82,500 shares of ArTara Sub common stock for $1.75 per share.

F9 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following April 29, 2019, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003243 · doc4.xml · derivative · entry 5

Braunstein Scott · CIK 0001643875 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,676

Underlying: Common Stock · 6,676 shares

Expires 2028-12-31

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F8 · price: Received in the Merger in exchange for a stock option to acquire 35,000 shares of ArTara Sub common stock for $1.75 per share.

F7 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following January 1, 2019, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003243 · doc4.xml · derivative · entry 4

Braunstein Scott · CIK 0001643875 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,537

Underlying: Common Stock · 9,537 shares

Expires 2028-12-31

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F4 · price: Received in the Merger in exchange for a stock option to acquire 50,000 shares of ArTara Sub common stock for $1.75 per share.

F7 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following January 1, 2019, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003243 · doc4.xml · derivative · entry 3

Braunstein Scott · CIK 0001643875 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,861

Underlying: Common Stock · 2,861 shares

Expires 2028-07-11

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F6 · price: Received in the Merger in exchange for a stock option to acquire 15,000 shares of ArTara Sub common stock for $1.75 per share.

F5 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following August 1, 2018, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003243 · doc4.xml · derivative · entry 2

Braunstein Scott · CIK 0001643875 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,537

Underlying: Common Stock · 9,537 shares

Expires 2028-05-24

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F4 · price: Received in the Merger in exchange for a stock option to acquire 50,000 shares of ArTara Sub common stock for $1.75 per share.

F3 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following June 1, 2018, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003239 · doc4.xml · derivative · entry 3

GARCEAU ROGER · CIK 0001451767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,491

Underlying: Common Stock · 10,491 shares

Expires 2029-04-28

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F6 · price: Received in the Merger in exchange for a stock option to acquire 55,000 shares of ArTara Sub common stock for $1.75 per share.

F5 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following April 29, 2019, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003239 · doc4.xml · derivative · entry 2

GARCEAU ROGER · CIK 0001451767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,399

Underlying: Common Stock · 12,399 shares

Expires 2028-12-31

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F4 · price: Received in the Merger in exchange for a stock option to acquire 65,000 shares of ArTara Sub common stock for $1.75 per share.

F3 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly thereafter for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003231 · doc4.xml · derivative · entry 2

Casoy Julio · CIK 0001799076 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,151

Underlying: Common Stock · 38,151 shares

Expires 2029-04-28

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F4 · price: Received in the Merger in exchange for an employee stock option to acquire 200,000 shares of ArTara Sub common stock for $1.75 per share.

F3 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following February 1, 2019, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003221 · doc4.xml · derivative · entry 4

BESHAR LUKE M · CIK 0001192128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,491

Underlying: Common Stock · 10,491 shares

Expires 2029-04-28

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F8 · price: Received in the Merger in exchange for a stock option to acquire 55,000 shares of ArTara Sub common stock for $1.75 per share.

F7 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following April 29, 2019, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003221 · doc4.xml · derivative · entry 3

BESHAR LUKE M · CIK 0001192128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,676

Underlying: Common Stock · 6,676 shares

Expires 2028-12-31

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F6 · price: Received in the Merger in exchange for a stock option to acquire 35,000 shares of ArTara Sub common stock for $1.75 per share.

F5 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following January 1, 2019, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-003221 · doc4.xml · derivative · entry 2

BESHAR LUKE M · CIK 0001192128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,399

Underlying: Common Stock · 12,399 shares

Expires 2028-07-11

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F4 · price: Received in the Merger in exchange for a stock option to acquire 65,000 shares of ArTara Sub common stock for $1.75 per share.

F3 · derivative.exercise_date: The shares subject to this option shall vest in forty eight (48) approximately equal increments of one thousand one hundred forty five (1,145) whole Option Shares beginning on the first day of the first calendar month following July 12, 2018, and then on the first day of each of the next forty seven (47) months thereafter (each a "Vesting Date"), if Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being April 1, 2023), all of the Option Shares which had not vested by then (being not less than 1,184 Option Shares) will vest and become exercisable.

SEC source: 0001209191-20-003223 · doc4.xml · nonDerivative · entry 1

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 790,274

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F2 · price: These shares were received in exchange for i) 4,000,000 shares of ArTara Sub Common Stock; and ii) 142,857 shares of ArTara Sub Exchangeable Common Stock, in connection with the Merger.

SEC source: 0001209191-20-003219 · doc4.xml · nonDerivative · entry 2

Opaleye, L.P. · CIK 0001391634 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,208,472

SEC source: 0001209191-20-003219 · doc4.xml · nonDerivative · entry 1

Opaleye, L.P. · CIK 0001391634 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 782,238

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly-owned subsidiary of the Issuer.

F2 · price: These shares were received in exchange for: i) 571,428 shares of ArTara Sub common stock; and ii) 3,505,174 shares of ArTara Sub exchangeable common stock, in connection with the merger.

SEC source: 0001209191-20-035849 · doc4a.xml · derivative · entry 3

Solomon Michael Edward · CIK 0001799320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,676

Underlying: Common Stock · 6,676 shares

Expires 2028-12-03

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F6 · price: Received in the Merger in exchange for a stock option to acquire 35,000 shares of ArTara Sub common stock for $1.75 per share.

F5 · derivative.exercise_date: The shares subject to this option shall vest in forty eight (48) approximately equal increments of one hundred thirty nine (139) whole Option Shares beginning on the first day of the first calendar month following December 4, 2018, and then on the first day of each of the next forty seven (47) months thereafter (each a "Vesting Date"), if Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being December 1, 2022), all of the Option Shares which had not vested by then (being not less than 139 Option Shares) will vest and become exercisable.

SEC source: 0001209191-20-035849 · doc4a.xml · derivative · entry 2

Solomon Michael Edward · CIK 0001799320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,861

Underlying: Common Stock · 2,861 shares

Expires 2028-07-11

F2 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F4 · price: Received in the Merger in exchange for a stock option to acquire 15,000 shares of ArTara Sub common stock for $1.75 per share.

F3 · derivative.exercise_date: One hundred nineteen (119) of the Option Shares shall vest as of the date of the grant, and the remaining Option Shares shall vest in forty six (46) approximately equal increments of fifty nine (59) whole Option Shares beginning on the first day of the first calendar month following the Date of Grant and then on the first day of each of the next forty five (45) months thereafter (each a "Vesting Date"), if the Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being May 1, 2022), all of the Option Shares which had not vested by then (being not less than 64 Option Shares) will vest and become exercisable, and that the vesting of all then unvested Option Shares shall be accelerated upon a Change of Control.

SEC source: 0001209191-20-035845 · doc4a.xml · derivative · entry 3

Braunstein Scott · CIK 0001643875 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,641

Underlying: Common Stock · 15,641 shares

Expires 2029-04-28

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F8 · price: Received in the Merger in exchange for a stock option to acquire 82,000 shares of ArTara Sub common stock for $1.75 per share.

F7 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly following April 29, 2019, for so long as the Reporting Person provides continuous service to the Issuer.

SEC source: 0001209191-20-035845 · doc4a.xml · derivative · entry 2

Braunstein Scott · CIK 0001643875 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,214

Underlying: Common Stock · 16,214 shares

Expires 2028-12-03

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F5 · price: Received in the Merger in exchange for a stock option to acquire 85,000 shares of ArTara Sub common stock for $1.75 per share.

F4 · derivative.exercise_date: The Option Shares shall vest in forty eight (48) approximately equal increments of three hundred thirty seven (337) whole Option Shares beginning on the first day of the first calendar month following December 4, 2018, and then on the first day of each of the next forty seven (47) months thereafter (each a "Vesting Date"), if Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being December 1, 2022), all of the Option Shares which had not vested by then will vest and become exercisable.

F6 · balance_after: The Stock Options originally noted on Table II of the Reporting Person's Form 4 filed on 1/13/2020, in the amounts of 9,537 shares and 6,676 shares, respectively, with the expiration date of 12/31/2028, have been combined and reported hereto as one Stock Option, pursuant to the Board's approval on 12/04/2018.

SEC source: 0001209191-20-035845 · doc4a.xml · derivative · entry 1

Braunstein Scott · CIK 0001643875 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,861

Underlying: Common Stock · 2,861 shares

Expires 2028-07-11

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F3 · price: Received in the Merger in exchange for a stock option to acquire 15,000 shares of ArTara Sub common stock for $1.75 per share.

F2 · derivative.exercise_date: One hundred nineteen (119) of the Option Shares shall vest as of the date of the grant, and the remaining Option Shares shall vest in forty six (46) approximately equal increments of fifty nine (59) whole Option Shares beginning on the first day of the first calendar month following the Date of Grant and then on the first day of each of the next forty five (45) months thereafter (each a "Vesting Date"), if the Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being May 1, 2022), all of the Option Shares which had not vested by then (being not less than 64 Option Shares) will vest and become exercisable, and that the vesting of all then unvested Option Shares shall be accelerated upon a Change of Control.

SEC source: 0001209191-20-035847 · doc4a.xml · derivative · entry 1

GARCEAU ROGER · CIK 0001451767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,399

Underlying: Common Stock · 12,399 shares

Expires 2028-12-23

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F3 · price: Received in the Merger in exchange for a stock option to acquire 65,000 shares of ArTara Sub common stock for $1.75 per share.

F2 · derivative.exercise_date: The Option Shares shall vest in forty eight (48) approximately equal increments of two hundred fifty eight (258) whole Option Shares beginning on the first day of the first calendar month following December 24, 2018, and then on the first day of each of the next forty seven (47) months thereafter (each a "Vesting Date"), if Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being December 1, 2022), all of the Option Shares which had not vested by then will vest and become exercisable.

SEC source: 0001209191-20-035842 · doc4a.xml · derivative · entry 2

BESHAR LUKE M · CIK 0001192128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,676

Underlying: Common Stock · 6,676 shares

Expires 2028-12-03

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F5 · price: Received in the Merger in exchange for a stock option to acquire 35,000 shares of ArTara Sub common stock for $1.75 per share.

F4 · derivative.exercise_date: The shares subject to this option shall vest in forty eight (48) approximately equal increments of one hundred thirty nine (139) whole Option Shares beginning on the first day of the first calendar month following December 4, 2018, and then on the first day of each of the next forty seven (47) months thereafter (each a "Vesting Date"), if Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being December 1, 2022), all of the Option Shares which had not vested by then (being not less than 139 Option Shares) will vest and become exercisable.

SEC source: 0001209191-20-035842 · doc4a.xml · derivative · entry 1

BESHAR LUKE M · CIK 0001192128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,399

Underlying: Common Stock · 12,399 shares

Expires 2028-07-11

F1 · date: On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly owned subsidiary of the Issuer.

F3 · price: Received in the Merger in exchange for a stock option to acquire 65,000 shares of ArTara Sub common stock for $1.75 per share.

F2 · derivative.exercise_date: Seven hundred seventy-four (774) of the Option Shares shall vest as of October 1, 2018, and the remaining Option Shares shall vest in forty five (45) approximately equal increments of two hundred fifty eight (258) whole Option Shares beginning on the first day of the fourth calendar month following the date of the grant (being November 1, 2018) and then on the first day of each of the next forty four (44) months thereafter (each a "Vesting Date"), if the Reporting Person has remained continuously engaged by the Issuer or any Affiliate through such Vesting Date; provided that, on the last such Vesting Date (being July 1, 2022), all of the Option Shares which had not vested by then will vest and become exercisable, and that the vesting of all then unvested Option Shares shall be accelerated upon a Change of Control.

SEC source: 0000905718-19-000932 · proteonther_fm4nov122019.xml · derivative · entry 2

Abingworth LLP · CIK 0001397144 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,400

Underlying: Common Stock, $0.001 par value · 126,645 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: The Series A convertible preferred stock (the "Series A Stock") is convertible, at the option of the holder, into Proteon Therapeutics Inc. common stock, $0.001 par value per share (the "Common Stock"), at a price per share equal to $0.9949.

F3 · derivative.expiration_date: The Series A Stock has no expiration date.

F4 · derivative.underlying_shares: The Series A Stock contains a provision prohibiting conversion to the extent that upon conversion the holder, together with its affiliates and any "group" members, would beneficially own in excess of 9.985% of the number of shares of Common Stock then outstanding.

F1 · ownership.nature: The shares are held by Abingworth Bioventures VI, LP ("Abingworth"). Abingworth Bioventures VI GP LP ("Abingworth GP") serves as the general partner of Abingworth. Abingworth General Partner VI LLP, serves as the general partner of Abingworth GP. Abingworth (acting by its general partner Abingworth GP, acting by its general partner Abingworth General Partner VI LLP) has delegated to Abingworth LLP, all investment and dispositive power over the securities held by Abingworth. The reporting person holds the reported securities indirectly through Abingworth. The reporting person disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person, Abingworth or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000905718-19-000932 · proteonther_fm4nov122019.xml · nonDerivative · entry 1

Abingworth LLP · CIK 0001397144 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,144,517

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The shares are held by Abingworth Bioventures VI, LP ("Abingworth"). Abingworth Bioventures VI GP LP ("Abingworth GP") serves as the general partner of Abingworth. Abingworth General Partner VI LLP, serves as the general partner of Abingworth GP. Abingworth (acting by its general partner Abingworth GP, acting by its general partner Abingworth General Partner VI LLP) has delegated to Abingworth LLP, all investment and dispositive power over the securities held by Abingworth. The reporting person holds the reported securities indirectly through Abingworth. The reporting person disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person, Abingworth or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000905718-19-000935 · proteonthera_fm4nov122019.xml · derivative · entry 2

Haines Timothy · CIK 0001526068 · Former Director and 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Abingworth Bioventures VI, LP

Disclosed balance after: 2,400

Underlying: Common Stock, $0.001 par value · 126,645 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: The Series A convertible preferred stock (the "Series A Stock") is convertible, at the option of the holder, into Proteon Therapeutics Inc. common stock, $0.001 par value per share (the "Common Stock"), at a price per share equal to $0.9949.

F4 · derivative.expiration_date: The Series A Stock has no expiration date.

F5 · derivative.underlying_shares: The Series A Stock contains a provision prohibiting conversion to the extent that upon conversion the holder, together with its affiliates and any "group" members, would beneficially own in excess of 9.985% of the number of shares of Common Stock then outstanding.

F1 · ownership.nature: The shares are held by Abingworth Bioventures VI, LP ("Abingworth"). Abingworth Bioventures VI GP LP ("Abingworth GP") serves as the general partner of Abingworth. Abingworth General Partner VI LLP, serves as the general partner of Abingworth GP. Abingworth (acting by its general partner Abingworth GP, acting by its general partner Abingworth General Partner VI LLP) has delegated to Abingworth LLP, all investment and dispositive power over the securities held by Abingworth. The reporting person is a member of the investment committee of Abingworth LLP, which approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the shares held by Abingworth. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F2 · ownership.nature: This report shall not be deemed an admission that the reporting person, Abingworth or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000905718-19-000935 · proteonthera_fm4nov122019.xml · nonDerivative · entry 1

Haines Timothy · CIK 0001526068 · Former Director and 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Abingworth Bioventures VI, LP

Disclosed balance after: 2,144,517

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The shares are held by Abingworth Bioventures VI, LP ("Abingworth"). Abingworth Bioventures VI GP LP ("Abingworth GP") serves as the general partner of Abingworth. Abingworth General Partner VI LLP, serves as the general partner of Abingworth GP. Abingworth (acting by its general partner Abingworth GP, acting by its general partner Abingworth General Partner VI LLP) has delegated to Abingworth LLP, all investment and dispositive power over the securities held by Abingworth. The reporting person is a member of the investment committee of Abingworth LLP, which approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the shares held by Abingworth. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F2 · ownership.nature: This report shall not be deemed an admission that the reporting person, Abingworth or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001171843-19-007468 · ownership.xml · derivative · entry 2

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 354

Underlying: Common Stock · 703,588 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The shares of Series A Convertible Preferred Stock (the "Series A Stock") are exercisable at any time at the option of the holder into Proteon Therapeutics Inc. common stock, $0.001 par value per share (the "Common Stock"), at a price per share equal to $0.9949. The Series A Stock has no expiration date and contains a provision prohibiting conversion to the extent that upon conversion the holder, together with its affiliates and any "group" members, would beneficially own in excess of 9.985% of the number of shares of Common Stock then outstanding.

F2 · kind: On November 8, 2019, Skyline Venture Partners Qualified Purchaser Fund IV, LP. ("Skyline") converted 700 shares of Series A Stock, resulting in the issuance to Skyline of 703,558588 shares of Common Stock. The reporting person is a Managing Director of Skyline Venture Management IV, LLC, the sole general partner of Skyline, and may be deemed to share voting and dispositive power over the shares held by Skyline. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: The shares of Series A Convertible Preferred Stock (the "Series A Stock") are exercisable at any time at the option of the holder into Proteon Therapeutics Inc. common stock, $0.001 par value per share (the "Common Stock"), at a price per share equal to $0.9949. The Series A Stock has no expiration date and contains a provision prohibiting conversion to the extent that upon conversion the holder, together with its affiliates and any "group" members, would beneficially own in excess of 9.985% of the number of shares of Common Stock then outstanding.

F1 · derivative.exercise_date: The shares of Series A Convertible Preferred Stock (the "Series A Stock") are exercisable at any time at the option of the holder into Proteon Therapeutics Inc. common stock, $0.001 par value per share (the "Common Stock"), at a price per share equal to $0.9949. The Series A Stock has no expiration date and contains a provision prohibiting conversion to the extent that upon conversion the holder, together with its affiliates and any "group" members, would beneficially own in excess of 9.985% of the number of shares of Common Stock then outstanding.

F2 · derivative.exercise_date: On November 8, 2019, Skyline Venture Partners Qualified Purchaser Fund IV, LP. ("Skyline") converted 700 shares of Series A Stock, resulting in the issuance to Skyline of 703,558588 shares of Common Stock. The reporting person is a Managing Director of Skyline Venture Management IV, LLC, the sole general partner of Skyline, and may be deemed to share voting and dispositive power over the shares held by Skyline. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · derivative.expiration_date: The shares of Series A Convertible Preferred Stock (the "Series A Stock") are exercisable at any time at the option of the holder into Proteon Therapeutics Inc. common stock, $0.001 par value per share (the "Common Stock"), at a price per share equal to $0.9949. The Series A Stock has no expiration date and contains a provision prohibiting conversion to the extent that upon conversion the holder, together with its affiliates and any "group" members, would beneficially own in excess of 9.985% of the number of shares of Common Stock then outstanding.

F2 · ownership.nature: On November 8, 2019, Skyline Venture Partners Qualified Purchaser Fund IV, LP. ("Skyline") converted 700 shares of Series A Stock, resulting in the issuance to Skyline of 703,558588 shares of Common Stock. The reporting person is a Managing Director of Skyline Venture Management IV, LLC, the sole general partner of Skyline, and may be deemed to share voting and dispositive power over the shares held by Skyline. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001171843-19-007468 · ownership.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,175,882

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The shares of Series A Convertible Preferred Stock (the "Series A Stock") are exercisable at any time at the option of the holder into Proteon Therapeutics Inc. common stock, $0.001 par value per share (the "Common Stock"), at a price per share equal to $0.9949. The Series A Stock has no expiration date and contains a provision prohibiting conversion to the extent that upon conversion the holder, together with its affiliates and any "group" members, would beneficially own in excess of 9.985% of the number of shares of Common Stock then outstanding.

F2 · kind: On November 8, 2019, Skyline Venture Partners Qualified Purchaser Fund IV, LP. ("Skyline") converted 700 shares of Series A Stock, resulting in the issuance to Skyline of 703,558588 shares of Common Stock. The reporting person is a Managing Director of Skyline Venture Management IV, LLC, the sole general partner of Skyline, and may be deemed to share voting and dispositive power over the shares held by Skyline. The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.