Birner Hubert

SEC source: 0001012975-18-001040 · edgar.xml · nonDerivative · entry 1

TVM Life Science Ventures VII L.P. · CIK 0001640880 · Director · 10% owner

Birner Hubert · CIK 0001398598 · Director · 10% owner

Marengere Luc · CIK 0001639971 · Director · 10% owner

Fischer Stefan · CIK 0001398596 · 10% owner

SCHUHSLER HELMUT · CIK 0001133921 · 10% owner

Beeby Reshentha · CIK 0001750983 · 10% owner

Leatt Gary · CIK 0001718117 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,697,709

F1 · ownership.nature: These shares are directly held by TVM Life Science Ventures VII L.P. ("TVM VII LP"). TVM Life Science Ventures VII (GP) Ltd. ("TVM VII GP Ltd") is the general partner of TVM VII LP. Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), Helmut Schuhsler ("Schuhsler"), Luc Marengere ("Marengere"), Reshentha Beeby ("Beeby"), and Gary Leatt ("Leatt") are members of the investment committee of TVM VII GP Ltd, which has voting and investment power with respect to these shares. TVM VII GP Ltd, Birner, Fischer, Schuhsler, Marengere, Beeby and Leatt each disclaim any beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein, if any. Marengere is a director of the Issuer.

SEC source: 0001171843-18-004577 · formfour.xml · derivative · entry 1

Birner Hubert · CIK 0001398598 · 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: The options were granted on June 8, 2018 and the shares underlying this option will vest 100% at the earlier of (i) June 8, 2019 and (ii) the Issuer's next annual meeting of stockholders.

SEC source: 0001012975-18-000059 · edgar.xml · nonDerivative · entry 3

TVM Life Science Ventures VI GmbH & Co KG · CIK 0001599744 · Director · 10% owner

TVM Life Science Ventures VI LP · CIK 0001318584 · Director · 10% owner

TVM Life Science Ventures VII L.P. · CIK 0001640880 · Director · 10% owner

Birner Hubert · CIK 0001398598 · Director · 10% owner

Marengere Luc · CIK 0001639971 · Director · 10% owner

Fischer Stefan · CIK 0001398596 · 10% owner

SCHUHSLER HELMUT · CIK 0001133921 · 10% owner

Wanless Mark · CIK 0001718086 · 10% owner

Leatt Gary · CIK 0001718117 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,422,709

F3 · ownership.nature: These shares are directly held by TVM Life Science Ventures VII L.P. ("TVM VII LP"). TVM Life Science Ventures VII (GP) Ltd. ("TVM VII GP Ltd") is the general partner of TVM VII LP. Luc Marengere ("Marengere"), Mark Wanless ("Wanless"), Gary Leatt ("Leatt"), Birner, Fischer and Schuhsler are members of the investment committee of TVM VII GP Ltd, which has voting and investment power with respect to these shares. TVM VII GP Ltd, Birner, Fischer, Schuhsler, Marengere, Wanless and Leatt each disclaim any beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein, if any. Marengere is a director of the Issuer.

SEC source: 0001012975-18-000059 · edgar.xml · nonDerivative · entry 2

TVM Life Science Ventures VI GmbH & Co KG · CIK 0001599744 · Director · 10% owner

TVM Life Science Ventures VI LP · CIK 0001318584 · Director · 10% owner

TVM Life Science Ventures VII L.P. · CIK 0001640880 · Director · 10% owner

Birner Hubert · CIK 0001398598 · Director · 10% owner

Marengere Luc · CIK 0001639971 · Director · 10% owner

Fischer Stefan · CIK 0001398596 · 10% owner

SCHUHSLER HELMUT · CIK 0001133921 · 10% owner

Wanless Mark · CIK 0001718086 · 10% owner

Leatt Gary · CIK 0001718117 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 248,756

F2 · ownership.nature: The shares are directly held by TVM Life Science Ventures VI L.P. ("TVM VI LP"). Birner, Schuhsler and Fischer are members of the investment committee of TVM VI Management, a special limited partner of TVM VI LP, with voting and dispositive power over the shares held by TVM VI LP. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI LP, except to the extent of any pecuniary interest therein, if any.

SEC source: 0001012975-18-000059 · edgar.xml · nonDerivative · entry 1

TVM Life Science Ventures VI GmbH & Co KG · CIK 0001599744 · Director · 10% owner

TVM Life Science Ventures VI LP · CIK 0001318584 · Director · 10% owner

TVM Life Science Ventures VII L.P. · CIK 0001640880 · Director · 10% owner

Birner Hubert · CIK 0001398598 · Director · 10% owner

Marengere Luc · CIK 0001639971 · Director · 10% owner

Fischer Stefan · CIK 0001398596 · 10% owner

SCHUHSLER HELMUT · CIK 0001133921 · 10% owner

Wanless Mark · CIK 0001718086 · 10% owner

Leatt Gary · CIK 0001718117 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 725,844

F1 · ownership.nature: The shares are directly held by TVM Life Science Ventures VI GmbH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), and Helmut Schuhsler ("Schuhsler") are members of the investment committee of TVM Life Science Ventures Management VI L.P. ("TVM VI Management"), a special limited partner of TVM VI, with voting and dispositive power over the shares held by TVM VI. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any. Birner is a director of the Issuer.

SEC source: 0001012975-17-000726 · edgar.xml · nonDerivative · entry 3

TVM Life Science Ventures VI GmbH & Co KG · CIK 0001599744 · Director · 10% owner

TVM Life Science Ventures VI LP · CIK 0001318584 · Director · 10% owner

TVM Life Science Ventures VII L.P. · CIK 0001640880 · Director · 10% owner

Birner Hubert · CIK 0001398598 · Director · 10% owner

Marengere Luc · CIK 0001639971 · 10% owner

Fischer Stefan · CIK 0001398596 · 10% owner

SCHUHSLER HELMUT · CIK 0001133921 · 10% owner

Wanless Mark · CIK 0001718086 · 10% owner

Leatt Gary · CIK 0001718117 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,172,709

F1 · kind: These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of June 30, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Acer Therapeutics Inc. ("Acer"). Pursuant to the Merger Agreement, at the Effective Time (as defined in the Merger Agreement) of the closing of the Mergers contemplated thereby, the then outstanding shares of Acer's common stock were cancelled and were automatically converted into the right to receive 1 share of the Issuer's common stock for each share of Acer common stock then held by the Reporting Persons. These shares were previously reported on a Form 3 filed by the Reporting Persons on the date of this filing.

F1 · price: These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of June 30, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Acer Therapeutics Inc. ("Acer"). Pursuant to the Merger Agreement, at the Effective Time (as defined in the Merger Agreement) of the closing of the Mergers contemplated thereby, the then outstanding shares of Acer's common stock were cancelled and were automatically converted into the right to receive 1 share of the Issuer's common stock for each share of Acer common stock then held by the Reporting Persons. These shares were previously reported on a Form 3 filed by the Reporting Persons on the date of this filing.

F4 · ownership.nature: These shares are directly held by TVM Life Science Ventures VII L.P. ("TVM VII LP"). TVM Life Science Ventures VII (GP) Ltd. ("TVM VII GP Ltd") is the general partner of TVM VII LP. Luc Marengere ("Marengere"), Mark Wanless ("Wanless"), Gary Leatt ("Leatt"), Birner, Fischer and Schuhsler are members of the investment committee of TVM VII GP Ltd, which has voting and investment power with respect to these shares. TVM VII GP Ltd, Birner, Fischer, Schuhsler, Marengere, Wanless and Leatt each disclaim any beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein, if any. Marengere is a director of the Issuer.

SEC source: 0001012975-17-000726 · edgar.xml · nonDerivative · entry 2

TVM Life Science Ventures VI GmbH & Co KG · CIK 0001599744 · Director · 10% owner

TVM Life Science Ventures VI LP · CIK 0001318584 · Director · 10% owner

TVM Life Science Ventures VII L.P. · CIK 0001640880 · Director · 10% owner

Birner Hubert · CIK 0001398598 · Director · 10% owner

Marengere Luc · CIK 0001639971 · 10% owner

Fischer Stefan · CIK 0001398596 · 10% owner

SCHUHSLER HELMUT · CIK 0001133921 · 10% owner

Wanless Mark · CIK 0001718086 · 10% owner

Leatt Gary · CIK 0001718117 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 227,485

F1 · kind: These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of June 30, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Acer Therapeutics Inc. ("Acer"). Pursuant to the Merger Agreement, at the Effective Time (as defined in the Merger Agreement) of the closing of the Mergers contemplated thereby, the then outstanding shares of Acer's common stock were cancelled and were automatically converted into the right to receive 1 share of the Issuer's common stock for each share of Acer common stock then held by the Reporting Persons. These shares were previously reported on a Form 3 filed by the Reporting Persons on the date of this filing.

F1 · price: These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of June 30, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Acer Therapeutics Inc. ("Acer"). Pursuant to the Merger Agreement, at the Effective Time (as defined in the Merger Agreement) of the closing of the Mergers contemplated thereby, the then outstanding shares of Acer's common stock were cancelled and were automatically converted into the right to receive 1 share of the Issuer's common stock for each share of Acer common stock then held by the Reporting Persons. These shares were previously reported on a Form 3 filed by the Reporting Persons on the date of this filing.

F3 · ownership.nature: The shares are directly held by TVM Life Science Ventures VI L.P. ("TVM VI LP"). Birner, Schuhsler and Fischer are members of the investment committee of TVM VI Management, a special limited partner of TVM VI LP, with voting and dispositive power over the shares held by TVM VI LP. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI LP, except to the extent of any pecuniary interest therein, if any.

SEC source: 0001012975-17-000726 · edgar.xml · nonDerivative · entry 1

TVM Life Science Ventures VI GmbH & Co KG · CIK 0001599744 · Director · 10% owner

TVM Life Science Ventures VI LP · CIK 0001318584 · Director · 10% owner

TVM Life Science Ventures VII L.P. · CIK 0001640880 · Director · 10% owner

Birner Hubert · CIK 0001398598 · Director · 10% owner

Marengere Luc · CIK 0001639971 · 10% owner

Fischer Stefan · CIK 0001398596 · 10% owner

SCHUHSLER HELMUT · CIK 0001133921 · 10% owner

Wanless Mark · CIK 0001718086 · 10% owner

Leatt Gary · CIK 0001718117 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 663,782

F1 · kind: These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of June 30, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Acer Therapeutics Inc. ("Acer"). Pursuant to the Merger Agreement, at the Effective Time (as defined in the Merger Agreement) of the closing of the Mergers contemplated thereby, the then outstanding shares of Acer's common stock were cancelled and were automatically converted into the right to receive 1 share of the Issuer's common stock for each share of Acer common stock then held by the Reporting Persons. These shares were previously reported on a Form 3 filed by the Reporting Persons on the date of this filing.

F1 · price: These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of June 30, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Acer Therapeutics Inc. ("Acer"). Pursuant to the Merger Agreement, at the Effective Time (as defined in the Merger Agreement) of the closing of the Mergers contemplated thereby, the then outstanding shares of Acer's common stock were cancelled and were automatically converted into the right to receive 1 share of the Issuer's common stock for each share of Acer common stock then held by the Reporting Persons. These shares were previously reported on a Form 3 filed by the Reporting Persons on the date of this filing.

F2 · ownership.nature: The shares are directly held by TVM Life Science Ventures VI GmbH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), and Helmut Schuhsler ("Schuhsler") are members of the investment committee of TVM Life Science Ventures Management VI L.P. ("TVM VI Management"), a special limited partner of TVM VI, with voting and dispositive power over the shares held by TVM VI. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any. Birner is a director of the Issuer.

SEC source: 0000899243-17-017250 · doc4.xml · derivative · entry 2

TVM Life Science Ventures VI GmbH & Co KG · CIK 0001599744 · 10% owner

TVM Life Science Ventures VI LP · CIK 0001318584 · 10% owner

Birner Hubert · CIK 0001398598 · Director · 10% owner

Fischer Stefan · CIK 0001398596 · 10% owner

SCHUHSLER HELMUT · CIK 0001133921 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Common Stock, $0.001 par value · 128,656 shares

Expires not disclosed

F5 · shares: The shares are directly held by TVM Life Science Ventures VI L.P. ("TVM VI LP"). Birner, Fischer and Schuhsler are members of the investment committee of TVM VI Management, a special limited partner of TVM VI LP, with voting and dispositive power over the shares held by TVM VI LP. TVM VI Management, Birner, Fischer and Schuhsler each disclaim beneficial ownership of the shares held by TVM VI LP, except to the extent of any pecuniary interest therein, if any.

F2 · derivative.exercise_date: 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 certificate of designations for 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.

SEC source: 0000899243-17-017250 · doc4.xml · derivative · entry 1

TVM Life Science Ventures VI GmbH & Co KG · CIK 0001599744 · 10% owner

TVM Life Science Ventures VI LP · CIK 0001318584 · 10% owner

Birner Hubert · CIK 0001398598 · Director · 10% owner

Fischer Stefan · CIK 0001398596 · 10% owner

SCHUHSLER HELMUT · CIK 0001133921 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Common Stock, $0.001 par value · 373,907 shares

Expires not disclosed

F1 · shares: The shares are directly held by TVM Life Science Ventures VI GMBH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), and Helmut Schuhsler ("Schuhsler") are members of the investment committee of TVM Life Science Ventures Management VI L.P. ("TVM VI Management"), a special limited partner of TVM VI, with voting and dispositive power over the shares held by TVM VI. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any. Birner is a director of the issuer.

F2 · derivative.exercise_date: 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 certificate of designations for 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.

SEC source: 0001012975-17-000502 · edgar.xml · derivative · entry 1

TVM Life Science Ventures VI GmbH & Co KG · CIK 0001599744 · Director · 10% owner

TVM Life Science Ventures VI LP · CIK 0001318584 · Director · 10% owner

Birner Hubert · CIK 0001398598 · Director · 10% owner

Fischer Stefan · CIK 0001398596 · 10% owner

SCHUHSLER HELMUT · CIK 0001133921 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Common Stock, $0.001 par value · 373,907 shares

Expires not disclosed

F1 · security: This amendment to the original Form 4 does not amend any item originally reported in Table II and the first line item of Table II is restated in this amendment for the sole purpose of gaining access to the electronic filing system; footnotes relating to such first line item are included for completeness and have not been amended. This amendment is made by the Reporting Persons solely to include the power of attorney attached hereto as Exhibit 24.

F2 · shares: The shares are directly held by TVM Life Science Ventures VI GMBH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), and Helmut Schuhsler ("Schuhsler") are members of the investment committee of TVM Life Science Management VI L.P. ("TVM VI Management"), a special limited partner of TVM VI, with voting and dispositive power over the shares held by TVM VI. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any. Birner is a director of the issuer.

F3 · derivative.exercise_date: The Series A convertible preferred stock (the "Series A Stock") is convertible, at the option of the holder, into Proteon Therapeutics Inc. common stock, $0.01 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 certificate of designations for 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.

SEC source: 0001171843-17-003742 · formfour.xml · derivative · entry 1

Birner Hubert · CIK 0001398598 · 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: The options were granted on June 20, 2017 and the shares underlying this option will vest 100% at the earlier of (i) June 20, 2018 and (ii) the Issuer's next annual meeting of stockholders.

SEC source: 0001398598-17-000002 · primary_doc.xml · derivative · entry 1

Birner Hubert · CIK 0001398598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,500

Underlying: Common Stock · 9,500 shares

Expires 2027-01-18

SEC source: 0001398598-17-000001 · primary_doc.xml · nonDerivative · entry 1

Birner Hubert · CIK 0001398598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,680

F1 · shares: The reporting person has received a fully vested stock award for shares of the Company's common stock. For calendar year 2016, the Company has elected to make common stock awards in lieu of cash payments of director fees otherwise payable under the director compensation policy. The number of shares of common stock awarded represent the quotient of (A) such director fees divided by (B) the Company's closing stock price on the date awarded, rounded down to the nearest whole share of common stock.

SEC source: 0001398598-16-000005 · primary_doc.xml · nonDerivative · entry 1

Birner Hubert · CIK 0001398598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,109

F1 · shares: The reporting person has received a fully vested stock award for shares of the Company's common stock. For calendar year 2016, the Company has elected to make common stock awards in lieu of cash payments of director fees otherwise payable under the director compensation policy. The number of shares of common stock awarded represent the quotient of (A) such director fees divided by (B) the Company's closing stock price on the date awarded, rounded down to the nearest whole share of common stock.