SEC Form 4 · accession 0000899243-15-008908
PROTHENA CORP PUBLIC LTD CO · PRTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lars Ekman
Director
Period of report
Nov 25, 2015
Accepted (ET)
Nov 25, 2015 · 5:57 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 25, 2015 | M | 30,000 | $6.41 | A | 30,243 | D | |
| Ordinary Shares, par value $0.01 per shareF1 | Nov 25, 2015 | S | 16,588 | $72.9602 | D | 13,655 | D | |
| Ordinary Shares, par value $0.01 per shareF2 | Nov 25, 2015 | S | 11,502 | $73.7262 | D | 2,153 | D | |
| Ordinary Shares, par value $0.01 per shareF3 | Nov 25, 2015 | S | 1,910 | $74.4349 | D | 243 | D |
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)F4 | $6.41 | Nov 25, 2015 | M | 30,000 | D | — | Jan 29, 2023 | Ordinary Shares | 30,000 | 95,000 | D |
Explanation of responses
- F1The transaction was executed in multiple trades in prices ranging from $72.28 to $73.27, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- F2The transaction was executed in multiple trades in prices ranging from $73.28 to $74.23, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- F3The transaction was executed in multiple trades in prices ranging from $74.28 to $74.715, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- F4The shares underlying the option are fully vested exercisable as of the date hereof.