SEC Form 4 · accession 0000899243-16-029584
PROTHENA CORP PUBLIC LTD CO · PRTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karin L Walker
Officer — See Remarks
Period of report
Sep 19, 2016
Accepted (ET)
Sep 21, 2016 · 4:05 pm EDT
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 | Sep 19, 2016 | M | 7,000 | $9.75 | A | 7,000 | D | |
| Ordinary Shares, par value $0.01 per shareF2 | Sep 19, 2016 | S | 4,300 | $60.0006 | D | 2,700 | D | |
| Ordinary Shares, par value $0.01 per shareF3 | Sep 19, 2016 | S | 2,700 | $61.8305 | D | 0 | D | |
| Ordinary Shares, par value $0.01 per share | Sep 19, 2016 | M | 5,000 | $27.81 | A | 5,000 | D | |
| Ordinary Shares, par value $0.01 per shareF4 | Sep 19, 2016 | S | 500 | $60.01 | D | 4,500 | D | |
| Ordinary Shares, par value $0.01 per shareF5 | Sep 19, 2016 | S | 4,500 | $61.8342 | D | 0 | 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)F6 | $9.75 | Sep 19, 2016 | M | 7,000 | D | — | Jun 2, 2023 | Ordinary Shares | 7,000 | 11,000 | D |
| Stock Option (right to buy)F7 | $27.81 | Sep 19, 2016 | M | 5,000 | D | — | Mar 11, 2025 | Ordinary Shares | 5,000 | 19,000 | 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 $60.00 to $60.025, 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 $61.79 to $61.885, 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 $60.00 to $60.025, 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 transaction was executed in multiple trades in prices ranging from $61.79 to $61.885, 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.
- 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 May 20, 2014 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.
- F7The shares subject to the option will vest and become exercisable as to 25% of the total number of shares subject to the option on March 11, 2016 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 with the Issuer on each such vesting date.
Remarks
Controller, Chief Accounting Officer and Head of Accounting