SEC Form 4 · accession 0000899243-15-007576
PROTHENA CORP PUBLIC LTD CO · PRTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur W Homan
Officer — Chief Legal Officer
Period of report
Nov 2, 2015
Accepted (ET)
Nov 4, 2015 · 4:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001559053
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares, par value $0.01 per share | Nov 2, 2015 | M | 3,125 | $22.14 | A | 3,125 | D | |
| Ordinary Shares, par value $0.01 per share | Nov 2, 2015 | S | 3,125 | $52.14 | D | 0 | D | |
| Ordinary Shares, par value $0.01 per shareF2 | holding | — | — | — | 2,000 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $22.14 | Nov 2, 2015 | M | 3,125 | D | — | May 1, 2024 | Ordinary Shares | 3,125 | 93,750 | D |
Explanation of responses
- F1The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.
- F2The shares are held by the Homan Family Trust, dated 9/21/2001, of which the Reporting Person is a trustee.
- F3The shares subject to the option will vest and become exercisable as to 25% of the total number of shares subject to the option on April 30, 2015 and with respect to 1/48th of the total number of shares subject to the option in successive, equal monthly installments on each monthly anniversary thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.