Form 4 for PTGX Protagonist Therapeutics, Inc
Accepted 2023-06-02 00:00:00 ET · period of report 2023-05-31 · accession 0001104659-23-067690 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-06-02 | 2023-02-22 | PTGX | PATEL DINESH V PH D | Pres, CEO, Dir | G - Gift | $0.00 | -10.0K | 583.4K | -2% | $0 | |
| 2023-06-02 | 2023-05-31 | PTGX | PATEL DINESH V PH D | Pres, CEO, Dir | F - Tax | $26.07 | -12.2K | 602.9K | -2% | -$317.1K | |
| 2023-06-02 | 2023-05-31 | PTGX | PATEL DINESH V PH D | Pres, CEO, Dir | A - Grant | $0.00 | +30.0K | 615.1K | +5% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-02-22 | G | D | 10,000 | $0.00 | 583,448 | D | — | — | (F1) The shares of common stock reported on this Form 4 are subject to a lock-up agreement between the reporting person and J.P. Morgan Securities LLC, Jefferies LLC and Piper Sandler & Co., dated April 4, 2023 (the "Lock-up Date") pursuant to which the shares of common stock reported herein cannot be sold for 60 days following the Lock-up Date. |
| 2 | Common | Common Stock | 2023-05-31 | F | D | 12,165 | $26.07 | 602,946 | D | — | — | (F4) Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of PSUs. (F1) The shares of common stock reported on this Form 4 are subject to a lock-up agreement between the reporting person and J.P. Morgan Securities LLC, Jefferies LLC and Piper Sandler & Co., dated April 4, 2023 (the "Lock-up Date") pursuant to which the shares of common stock reported herein cannot be sold for 60 days following the Lock-up Date. |
| 3 | Common | Common Stock | 2023-05-31 | A | A | 30,000 | $0.00 | 615,111 | D | — | — | (F2) Represents settlement by the Issuer of performance stock units ("PSUs") granted to the Reporting Person under the Company's 2016 Equity Incentive Plan on May 31, 2022, which vested based on the Issuer's achievement of corporate performance objectives. (F1) The shares of common stock reported on this Form 4 are subject to a lock-up agreement between the reporting person and J.P. Morgan Securities LLC, Jefferies LLC and Piper Sandler & Co., dated April 4, 2023 (the "Lock-up Date") pursuant to which the shares of common stock reported herein cannot be sold for 60 days following the Lock-up Date. (F3) Includes an aggregate of 1,663 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2023. |