Freund John Gordon

SEC source: 0001209191-18-055697 · doc4.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 2,213,425

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 · price: The Issuer's Series 4 Preferred Stock, Series 5 Preferred Stock and Series 7 Preferred Stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date.

F2 · ownership.nature: Shares held by Skyline Venture Partners V, L.P. ("SVP V"). Skyline Venture Management V, LLC ("LLC") is the general partner of SVP V and as such may be deemed to have voting and investment power with respect to the securities of SVP V. Dr. Freund, a member of the Issuer's board of directors, together with Yasunori Kaneko, are the managing directors of LLC and each may be deemed to have voting and investment power with respect to the securities held by SVP V. Dr. Freund disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-052835 · doc4.xml · derivative · entry 6

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 514,211 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.

F4 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-18-052835 · doc4.xml · derivative · entry 5

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 520,264 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: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F3 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F3 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-18-052835 · doc4.xml · derivative · entry 4

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 925,578 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 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F1 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F1 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-18-052835 · doc4.xml · nonDerivative · entry 3

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 1,960,053

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.

F4 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-18-052835 · doc4.xml · nonDerivative · entry 2

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 1,445,842

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 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-18-052835 · doc4.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 925,578

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 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-18-052481 · doc4.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,033

Underlying: Common Stock · 26,033 shares

Expires 2028-09-25

F1 · derivative.exercise_date: The option vests as to 2.778% of the total shares monthly, beginning on October 26, 2018, with 100% of the total shares vested and exercisable on September 26, 2021, subject to the reporting person's provision of service to the issuer on each vesting date.

SEC source: 0001171843-18-004580 · formfour.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

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: 0001209191-18-034656 · doc4.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2028-05-29

F1 · derivative.exercise_date: Vests in equal quarterly installments over a one-year period measured from the date of grant.

SEC source: 0001192482-18-000252 · edgar.xml · derivative · entry 4

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,506

Underlying: Common Stock · 4,506 shares

Expires 2028-05-24

F4 · derivative.exercise_date: The option vests and becomes exercisable on May 24, 2019, subject to the director's continued service with the issuer.

SEC source: 0001192482-18-000252 · edgar.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,253

F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on May 24, 2019, subject to the director's continued service with the issuer. The restricted stock units will be settled on such date in shares of the issuer's common stock.

SEC source: 0001192482-18-000131 · edgar.xml · nonDerivative · entry 2

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By John Freund Family Partnership IV, L.P.

Disclosed balance after: 20,506

F3 · kind: Represents a pro rata in-kind distribution of the shares by Skyline Venture Partners V, L.P. without consideration to the reporting person.

F4 · ownership.nature: The shares are held by the John Freund Family Partnership IV, L.P. ("Freund LP"). The reporting person is the trustee and beneficiary of the The John G. Freund Revocable Trust u/a/d 6/26/01 which serves as the general partner of Freund LP. The reporting person disclaims beneficial ownership of the shares held by Freund LP except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001192482-18-000131 · edgar.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 1,549,916

F1 · kind: Represents a pro rata in-kind distribution of the shares by Skyline Venture Partners V, L.P. without consideration to its limited and general partners.

F2 · ownership.nature: The shares are held by Skyline Venture Partners V, L.P. The general partner of Skyline Venture Partners V, L.P. is Skyline Venture Management V, LLC. John G. Freund and Yasunori Kaneko are managers of Skyline Venture Management V, LLC. These individuals share voting and investment power over the shares held by Skyline Venture Management, LLC. Dr. Freund disclaims beneficial ownership of all the shares held by Skyline Venture Partners V, L.P. except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001192482-17-000306 · edgar.xml · nonDerivative · entry 2

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By John Freund Family Partnership IV, L.P.

Disclosed balance after: 11,715

F3 · kind: Represents a pro rata in-kind distribution of the shares by Skyline Venture Partners V, L.P. without consideration to the reporting person.

F4 · ownership.nature: The shares are held by the John Freund Family Partnership IV, L.P. ("Freund LP"). The reporting person is the trustee and beneficiary of the The John G. Freund Revocable Trust u/a/d 6/26/01 which serves as the general partner of Freund LP. The reporting person disclaims beneficial ownership of the shares held by Freund LP except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001192482-17-000306 · edgar.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 2,149,916

F1 · kind: Represents a pro rata in-kind distribution of the shares by Skyline Venture Partners V, L.P. without consideration to its limited and general partners.

F2 · ownership.nature: The shares are held by Skyline Venture Partners V, L.P. The general partner of Skyline Venture Partners V, L.P. is Skyline Venture Management V, LLC. John G. Freund and Yasunori Kaneko are managers of Skyline Venture Management V, LLC. These individuals share voting and investment power over the shares held by Skyline Venture Management, LLC. Dr. Freund disclaims beneficial ownership of all the shares held by Skyline Venture Partners V, L.P. except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001171843-17-003831 · form4freund.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners

Disclosed balance after: 1,054

Underlying: Common Stock, $0.001 par value · 1,059,403 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.

F1 · 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.exercise_date: 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.

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 Skyline Venture Partners Qualified Purchaser Fund IV, LP. ("Skyline").

F5 · ownership.nature: 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: 0001171843-17-003743 · formfour.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

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: 0001209191-17-036839 · doc4.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2027-05-30

F1 · derivative.exercise_date: Vests in equal quarterly installments over a one-year period measured from the date of grant.

SEC source: 0001192482-17-000131 · edgar.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,853

Underlying: Common Stock · 19,853 shares

Expires 2027-05-24

F1 · derivative.exercise_date: The option vests and becomes exercisable on May 24, 2018, subject to the director's continued service with the issuer.