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Item 3. Legal Proceedings

2021-03-11 compared with 2020-03-20 · 6 added, 36 removed, 3 unchanged (93% of the section changed)

Legal Proceedings.

From time to time,

ArTara may be subject to various legal proceedings and claims that arise in the ordinary course of its business activities.

November 15 and December 23, 2019, four lawsuits were filed in federal court against Proteon, ArTara, Merger Sub and the individual

members of the Proteon Board (captioned Patrick Plumley v.

Proteon Therapeutics, Inc., et al.

1:19-cv-02143-UNA

filed 11/15/19));

Jeffrey Teow v.

Proteon Therapeutics, Inc., et al.

1:19-cv-06745 (E.D.N.Y., filed 11/30/19);

Neil Lanteigne v.

Proteon Therapeutics, et al.

1:19-cv-12436 (D.

Mass., filed 12/03/19);

Stephen Wagner v.

Proteon Therapeutics, Inc., et al.

1:19-cv-02343 (D.

Del., filed 12/23/19).

The Plumley complaint is brought

as a purported class action lawsuit.

All four lawsuits alleged that the definitive proxy statement in the preliminary registration

statement on Form S-4 filed by Proteon on November 7, 2019 with the SEC in connection with the proposed Merger (the “Proxy

Statement”) omitted material information with respect to the transactions contemplated by the Merger Agreement, rendering

it false and misleading in violation of Sections 14(a) (and Rule 14a-9 promulgated thereunder) and 20(a) of the Exchange Act.

plaintiffs in each of the four lawsuits sought, among other things, injunctive relief, rescission, declaratory relief and unspecified

monetary damages.

On December 31, 2019, Proteon filed an amendment to the Proxy Statement on Form 8-K, which contained certain

supplemental disclosures intended to moot the plaintiffs’ disclosure claims.

On January 9, 2019, Proteon held a special meeting

of its stockholders, at which the Company’s stockholders approved the Merger.

On January 27, 2020, plaintiff in the Lanteigne

action voluntarily dismissed his case.

On February 3, 2020, plaintiff in the Plumley action voluntarily dismissed his case.

On February 7, 2020, plaintiff in the Teow action voluntarily dismissed his case.

On February 10, 2020, plaintiff in the

Wagner action dismissed his case.

From time to time, we

may be subject to various legal proceedings and claims that arise in the ordinary course of our business activities.

currently a party to any legal proceedings that, in the opinion of our management, are likely to have a material adverse effect

on our business.

Regardless of outcome, litigation can have an adverse impact on us because of defense and settlement costs, diversion

of management resources and other factors.

Mine Safety Disclosures.

1 unchanged sentence

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 3. Legal Proceedings