Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Acer Therapeutics Inc.ACER · Entity 108116 | 10% owner | August 01, 2018 | August 22, 2018 |
| Protara Therapeutics, Inc.PRTO · Entity 6203 | 10% owner | June 22, 2017 | June 30, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Acer Therapeutics Inc.
Report date August 01, 2018 · Filed August 22, 2018
Jointly reported with TVM Life Science Ventures VII L.P., Birner Hubert, Marengere Luc, SCHUHSLER HELMUT, Beeby Reshentha, Leatt Gary
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,697,709 |
Reported balance
After 2018-08-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-08-01 · Purchase · Acquired 275,000 · Balance 1,697,709 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Protara Therapeutics, Inc.
Report date June 22, 2017 · Filed June 30, 2017 · Amendment
Jointly reported with TVM Life Science Ventures VI GmbH & Co KG, TVM Life Science Ventures VI LP, Birner Hubert, SCHUHSLER HELMUT
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.99 | Direct | 500 |
Reported balance
After 2017-06-22 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2017-06-22 · Purchase · Acquired 372 · Balance 500 F1: 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: 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: 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: The Series A Stock has no expiration date. F5: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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: 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: The Series A Stock has no expiration date.
F5: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 01, 2018 Filed Aug 22, 2018 16:22 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | PurchaseCommon Stock | 275,000 | $18.00 | $4,950,000.00 |
DisclosureSEC 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. Read SEC document |
| December 12, 2017 Filed Jan 12, 2018 14:33 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | PurchaseCommon Stock | 250,000 | $12.00 | $3,000,000.00 |
DisclosureSEC 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. Read SEC document |
| December 12, 2017 Filed Jan 12, 2018 14:33 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | PurchaseCommon Stock | 21,271 | $12.00 | $255,252.00 |
DisclosureSEC 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. Read SEC document |
| December 12, 2017 Filed Jan 12, 2018 14:33 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | PurchaseCommon Stock | 62,062 | $12.00 | $744,744.00 |
DisclosureSEC 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. Read SEC document |
| September 19, 2017 Filed Sep 27, 2017 18:34 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | OtherCommon Stock | 1,172,709 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| September 19, 2017 Filed Sep 27, 2017 18:34 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | OtherCommon Stock | 227,485 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| September 19, 2017 Filed Sep 27, 2017 18:34 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | OtherCommon Stock | 663,782 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 22, 2017 Filed Jun 26, 2017 18:06 UTC | Protara Therapeutics, Inc. PRTO · Entity 6203 | PurchaseSeries A Convertible Preferred Stock · Derivative | 128 | $1,000.00 Strike: $0.99 | $128,000.00 |
DisclosureSEC 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. Read SEC document |
| June 22, 2017 Filed Jun 26, 2017 18:06 UTC | Protara Therapeutics, Inc. PRTO · Entity 6203 | PurchaseSeries A Convertible Preferred Stock · Derivative | 372 | $1,000.00 Strike: $0.99 | $372,000.00 |
DisclosureSEC 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. Read SEC document |
| June 22, 2017 Filed Jun 30, 2017 13:51 UTC Amendment | Protara Therapeutics, Inc. PRTO · Entity 6203 | PurchaseSeries A Convertible Preferred Stock · Derivative | 372 | $1,000.00 Strike: $0.99 | $372,000.00 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.