Protagonist Therapeutics, Inc 10-Q

ITEM 5. OTHER INFORMATION (c) Trading Plans On April 22, 2024 , Dinesh V. Patel , our Chief Executive Officer and member of our Board , adopted a trading plan intended to satisfy Rule 10b5-1(c) to sell up to 300,000 shares of the Company’s common stock through July 31, 2025, or such earlier date when all transactions under the trading plan are completed, subject to certain conditions. During the fiscal quarter ended June 30, 2024, no other director or Section 16 officer adopted or terminated any Rule 60 Table of Contents 10b5-1 trading arrangement or a non-Rule 10b5-1 trading arrangement (in each case as defined in Item 408(a) of Regulation S-K). ​ ITEM 6. EXHIBITS ​ EXHIBIT INDEX ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ Exhibit ​ ​ ​ Incorporation By Reference Number Exhibit Description Form SEC File No. Exhibit Filing Date 3.1 ​ Amended and Restated Certificate of Incorporation ​ 8-K ​ 001-37852 ​ 3.1 ​ 8/16/2016 3.2 ​ Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Protagonist Therapeutics, Inc. ​ 8-K ​ 001-37852 ​ 3.1 ​ 6/26/2024 3.3 ​ Amended and Restated Bylaws ​ S-1/A ​ 333-212476 ​ 3.2b ​ 8/1/2016 10.1+ ​ Third Amendment to Lease dated March 6, 2017 by and between Protagonist Therapeutics, Inc., as Tenant, and BMR-Pacific Research Center, LP as Landlord, dated May 6, 2024 ​ ​ ​ ​ ​ ​ ​ ​ 31.1+ ​ Certification of Chief Executive Officer required by Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 ​ ​ ​ ​ ​ ​ ​ ​ 31.2+ ​ Certification of Chief Financial Officer required by Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 ​ ​ ​ ​ ​ ​ ​ ​ 32.1+* ​ Certification of Chief Executive Officer and Chief Financial Officer, as required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. §1350), as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 ​ ​ ​ ​ ​ ​ ​ ​ 101.INS+ ​ XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. ​ ​ ​ ​ ​ ​ ​ ​ 101.SCH+ ​ Inline XBRL Taxonomy Extension Schema Document ​ ​ ​ ​ ​ ​ ​ ​ 101.CAL+ ​ Inline XBRL Taxonomy Extension Calculation Linkbase Document ​ ​ ​ ​ ​ ​ ​ ​ 101.DEF+ ​ Inline XBRL Taxonomy Extension Definition Linkbase Document ​ ​ ​ ​ ​ ​ ​ ​ 101.LAB+ ​ Inline XBRL Taxonomy Extension Labels Linkbase Document ​ ​ ​ ​ ​ ​ ​ ​ 101.PRE+ ​ Inline XBRL Taxonomy Extension Presentation Linkbase Document ​ ​ ​ ​ ​ ​ ​ ​ 104 ​ Cover Page Interactive Data File - The cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document ​ ​ ​ ​ ​ ​ ​ ​ + Filed herewith. * This certification attached as Exhibit 32.1 that accompanies this Quarterly Report on Form 10-Q is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of Protagonist Therapeutics, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of the Form 10-Q, irrespective of any general incorporation language contained in such filing. 61 Table of Contents SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. ​ PROTAGONIST THERAPEUTICS, INC. ​ ​ ​ ​ ​ ​ Date: August 6, 2024 By: /s/ Dinesh V. Patel, Ph.D. ​ ​ Dinesh V. Patel, Ph.D. ​ ​ President, Chief Executive Officer and Director ​ ​ (Principal Executive Officer) ​ ​ ​ Date: August 6, 2024 By: /s/ Asif Ali ​ ​ Asif Ali ​ ​ Executive Vice President, Chief Financial Officer ​ ​ (Principal Financial and Accounting Officer) ​ ​ 62