SEC Form 4 · accession 0000899243-16-011134
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
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 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 | Jan 4, 2016 | M | 3,125 | $22.14 | A | 3,125 | D | |
| Ordinary Shares, par value $0.01 per shareF2 | Jan 4, 2016 | S | 1,387 | $64.5066 | D | 1,738 | D | |
| Ordinary Shares, par value $0.01 per shareF3 | Jan 4, 2016 | S | 1,138 | $65.4581 | D | 600 | D | |
| Ordinary Shares, par value $0.01 per shareF4 | Jan 4, 2016 | S | 600 | $66.546 | D | 0 | D | |
| Ordinary Shares, par value $0.01 per shareF5 | 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)F6 | $22.14 | Jan 4, 2016 | M | 3,125 | D | — | May 1, 2024 | Ordinary Shares | 3,125 | 90,625 | 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 transaction was executed in multiple trades in prices ranging from $64.03 to $65.00, 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 $65.08 to $66.06, 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 transaction was executed in multiple trades in prices ranging from $66.19 to $67.13, 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.
- F5The shares are held by the Homan Family Trust, dated 9/21/2001, of which the Reporting Person is a trustee.
- F6The 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.