Haines Timothy

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: 0001209191-19-037836 · doc4.xml · nonDerivative · entry 1

Haines Timothy · CIK 0001526068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,982

F1 · shares: The Restricted Stock Units (RSUs) will vest on the earlier to occur of: (i) the day prior to the Annual Meeting for the fiscal year following the date of grant or (ii) the one (1) year anniversary of the Annual Meeting on which the Annual Grant was granted, subject to continued service as a director of the Issuer.

SEC source: 0000905718-18-000913 · sientra_fm4nov62018.xml · nonDerivative · entry 2

Haines Timothy · CIK 0001526068 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes

Disclosed balance after: 2,390,843

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Abingworth Bioventures VI, LP ("ABV VI") and Abingworth Bioventures V Co-Invest Growth Equity Fund LP ("AGE") on September 5, 2018.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.27 to $22.25 per share, inclusive. Reporting Person undertakes to provide to Sientra, any security holder of Sientra, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

F5 · balance_after: Consists of (i) 1,195,421 shares held of record by ABV V, and (ii) 1,195,422 shares held of record by AGE. The investment manager of the Abingworth Funds is Abingworth. Abingworth GP, a Scottish limited partnership, serves as the general partner of each of the Abingworth Funds. Abingworth General Partner V LLP, a Scottish limited liability partnership, serves as the general partner of Abingworth GP. Abingworth GP (acting by its general partner Abingworth General Partner V LLP) has delegated to Abingworth all investment and dispositive power over the shares held by the Abingworth Funds. The Reporting Person holds the reported securities indirectly through Abingworth.

F6 · ownership.nature: The Reporting Person is part of an investment committee of Abingworth, 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 the Abingworth Funds. From time to time, the investment committee may delegate investment and voting authority over certain securities held by the Abingworth Funds to employees of Abingworth subject to the supervision and oversight of the investment committee, including any limits on such authority imposed by the investment committee in its discretion and the right of the investment committee to revoke such authority at any time.

F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of all shares held of record by the Abingworth Funds, except to the extent of his pecuniary interest therein, if any. 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: 0000905718-18-000913 · sientra_fm4nov62018.xml · nonDerivative · entry 1

Haines Timothy · CIK 0001526068 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes

Disclosed balance after: 2,471,980

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Abingworth Bioventures VI, LP ("ABV VI") and Abingworth Bioventures V Co-Invest Growth Equity Fund LP ("AGE") on September 5, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.25 per share, inclusive. Timothy Haines (the "Reporting Person") undertakes to provide to Sientra, Inc. ("Sientra"), any security holder of Sientra, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

F3 · balance_after: Consists of (i) 1,235,990 shares held of record by ABV V, and (ii) 1,235,990 shares held of record by AGE. ABV V and AGE are collectively referred to as the "Abingworth Funds." The investment manager of the Abingworth Funds is Abingworth LLP ("Abingworth"). Abingworth Bioventures V GP LP ("Abingworth GP"), a Scottish limited partnership, serves as the general partner of each of the Abingworth Funds. Abingworth General Partner V LLP, a Scottish limited liability partnership, serves as the general partner of Abingworth GP. Abingworth GP (acting by its general partner Abingworth General Partner V LLP) has delegated to Abingworth all investment and dispositive power over the shares held by the Abingworth Funds. The Reporting Person holds the reported securities indirectly through Abingworth.

F6 · ownership.nature: The Reporting Person is part of an investment committee of Abingworth, 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 the Abingworth Funds. From time to time, the investment committee may delegate investment and voting authority over certain securities held by the Abingworth Funds to employees of Abingworth subject to the supervision and oversight of the investment committee, including any limits on such authority imposed by the investment committee in its discretion and the right of the investment committee to revoke such authority at any time.

F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of all shares held of record by the Abingworth Funds, except to the extent of his pecuniary interest therein, if any. 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: 0001171843-18-004581 · formfour.xml · derivative · entry 1

Haines Timothy · CIK 0001526068 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,700

Underlying: Common Stock · 12,700 shares

Expires 2028-06-07

F1 · derivative.exercise_date: Tim Haines (the "Reporting Person") was granted options to purchase shares of common stock in consideration of his services as a director of the Issuer (the "Options"). The Options were granted on June 8, 2018 and the shares underlying the Options will vest 100% at the earlier of (i) June 8, 2019 and (ii) the Issuer's next annual meeting of stockholders.

F2 · ownership.direct: The Reporting Person is a member of Abingworth LLP ("ALLP"). ALLP provides advisory services to Abingworth Bioventures VI, LP ("ABV VI"). Under an agreement between the Reporting Person and ALLP, the Reporting Person is deemed to hold the Options and any shares of common stock issuable upon exercise of the Options, for the benefit of ABV VI, and must exercise the Options solely upon the direction of ALLP.

F3 · ownership.direct: ABV VI may be deemed the indirect beneficial owner of the Options, and the Reporting Person may be deemed the indirect beneficial owner of the Options through his indirect interest in ABV VI. The Reporting Person disclaims beneficial ownership of the Options except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed an admission that the Reporting Person, ALLP, ABV VI 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: 0001209191-18-036530 · doc4.xml · nonDerivative · entry 1

Haines Timothy · CIK 0001526068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,662

F1 · shares: The Common Stock underlying this grant of restricted stock will vest on the earlier to occur of: (i) the day prior to the annual meeting of stockholders for the year following the date of grant or (ii) the one (1) year anniversary of the annual meeting of stockholders of the year of grant, subject to continued service as a director of the Issuer.

SEC source: 0000905718-18-000470 · sientra_fm4may72018.xml · nonDerivative · entry 1

Haines Timothy · CIK 0001526068 · Director · Former 10% Holder

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes

Disclosed balance after: 2,480,494

F1 · ownership.nature: Consists of (i) 1,240,247 shares held of record by Abingworth Bioventures V LP ("ABV V"), and (ii) 1,240,247 shares held of record by Abingworth Bioventures V Co-Invest Growth Equity Fund LP ("AGE"). ABV V and AGE are collectively referred to as the "Abingworth Funds." The investment manager of the Abingworth Funds is Abingworth LLP ("Abingworth"). Abingworth Bioventures V GP LP ("Abingworth GP"), a Scottish limited partnership, serves as the general partner of each of the Abingworth Funds. Abingworth General Partner V LLP, a Scottish limited liability partnership, serves as the general partner of Abingworth GP. Abingworth GP (acting by its general partner Abingworth General Partner V LLP) has delegated to Abingworth all investment and dispositive power over the shares held by the Abingworth Funds. The reporting person holds the reported securities indirectly through Abingworth.

F2 · ownership.nature: The reporting person is part of an investment committee of Abingworth, 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 the Abingworth Funds. From time to time, the investment committee may delegate investment and voting authority over certain securities held by the Abingworth Funds to employees of Abingworth subject to the supervision and oversight of the investment committee, including any limits on such authority imposed by the investment committee in its discretion and the right of the investment committee to revoke such authority at any time.

F3 · ownership.nature: The reporting person disclaims beneficial ownership of all shares held of record by the Abingworth Funds. 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: 0000905718-17-000624 · haines_fm4jun222017.xml · derivative · entry 1

Haines Timothy · CIK 0001526068 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Abingworth Bioventures VI, LP

Disclosed balance after: 2,526

Underlying: Common Stock, $0.001 par value · 2,538,949 shares

Expires not disclosed

F1 · 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.

F2 · derivative.expiration_date: The Series A Stock has no expiration date.

F3 · 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.

F4 · 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.

F5 · 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: 0000899243-17-017263 · doc4.xml · nonDerivative · entry 1

Haines Timothy · CIK 0001526068 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,546

F1 · shares: The common stock underlying this grant of restricted stock will vest on the earlier to occur of: (i) day prior to the annual meeting of stockholders for the year following the date of grant, or (ii) the one-year anniversary of the annual meeting of stockholders of the year of grant, subject to continued service as a director.

SEC source: 0001171843-17-003744 · formfour.xml · derivative · entry 1

Haines Timothy · CIK 0001526068 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,666

Underlying: Common Stock, $0.001 par value · 6,666 shares

Expires 2027-06-19

F1 · derivative.exercise_date: Tim Haines (the "Reporting Person") was granted options to purchase shares of common stock under in accordance with the Issuer's S-1 Registration Statement in consideration of his services as a director of the Issuer (the "Options"). The Options were granted on June 20, 2017 and the shares underlying the Options will vest 100% at the earlier of (i) June 20, 2018 and (ii) the Issuer's next annual meeting of stockholders.

F2 · ownership.direct: The Reporting Person is a member of Abingworth LLP ("ALLP"). ALLP provides advisory services to Abingworth Bioventures VI, LP ("ABV VI"). Under an agreement between the Reporting Person and ALLP, the Reporting Person is deemed to hold the Options and any shares of common stock issuable upon exercise of the Options, for the benefit of ABV VI, and must exercise the Options solely upon the direction of ALLP.

F3 · ownership.direct: ABV VI may be deemed the indirect beneficial owner of the Options, and the Reporting Person may be deemed the indirect beneficial owner of the Options through his indirect interest in ABV VI. The Reporting Person disclaims beneficial ownership of the Options except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed an admission that the Reporting Person, ALLP, ABV VI 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.