Sec Form 4 Filing - TVM Life Science Ventures VI GmbH & Co KG @ PROTEON THERAPEUTICS INC - 2017-06-22

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
TVM Life Science Ventures VI GmbH & Co KG
2. Issuer Name and Ticker or Trading Symbol
PROTEON THERAPEUTICS INC [ PRTO]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O TVM CAPITAL GMBH, OTTOSTRASSE 4
3. Date of Earliest Transaction (MM/DD/YY)
06/22/2017
(Street)
MUNICH, 2M80333
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Convertible Preferred Stock $ 0.9949 06/22/2017 P 372 ( 1 ) ( 2 ) ( 3 ) Common Stock, $0.001 par value 373,907 ( 4 ) $ 1,000 500 D
Series A Convertible Preferred Stock $ 0.9949 06/22/2017 P 128 ( 5 ) ( 2 ) ( 3 ) Common Stock, $0.001 par value 128,656 ( 4 ) $ 1,000 500 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
TVM Life Science Ventures VI GmbH & Co KG
C/O TVM CAPITAL GMBH
OTTOSTRASSE 4
MUNICH, 2M80333
X
TVM Life Science Ventures VI LP
C/O TVM CAPITAL GMBH
OTTOSTRASSE 4
MUNICH, 2M80333
X
Birner Hubert
C/O TVM CAPITAL GMBH
OTTOSTRASSE 4
MUNICH, 2M80333
X X
Fischer Stefan
C/O TVM CAPITAL GMBH
OTTOSTRASSE 4
MUNICH, 2M80333
X
SCHUHSLER HELMUT
C/O TVM CAPITAL GMBH
OTTOSTRASSE 4
MUNICH, 2M80333
X
Signatures
TVM Life Science Ventures VI GMBH & Co. KG /s/ Stefan Fischer, Director of TVM Life Science Ventures VI LLC, general partner of TVM Life Science Ventures Management VI L.P., managing limited partner of TVM Life Science Ventures VI GMBH & Co. KG 06/26/2017
Signature of Reporting Person Date
TVM Life Science Ventures VI L.P /s/ Stefan Fischer, Director of TVM Life Science Ventures VI LLC, general partner of TVM Life Science Ventures Management VI L.P., managing limited partner of TVM Life Science Ventures VI L.P. 06/26/2017
Signature of Reporting Person Date
/s/ Stefan Fischer by power of attorney for Hubert Birner 06/26/2017
Signature of Reporting Person Date
/s/ Stefan Fischer 06/26/2017
Signature of Reporting Person Date
/s/ Stefan Fischer by power of attorney for Helmut Schuhsler 06/26/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )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.
( 3 )The Series A Stock has no expiration date.
( 4 )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.
( 5 )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.

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