SEC Form 4 · accession 0000899243-17-018555
PROTHENA CORP PUBLIC LTD CO · PRTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher S Henney
Director
Period of report
Jul 17, 2017
Accepted (ET)
Jul 19, 2017 · 4:10 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 | Jul 17, 2017 | M | 5,000 | $6.65 | A | 5,000 | D | |
| Ordinary Shares, par value $0.01 per shareF2 | Jul 17, 2017 | S | 5,000 | $66.1341 | 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)F3 | $6.65 | Jul 17, 2017 | M | 5,000 | D | — | Mar 18, 2023 | Ordinary Shares | 5,000 | 15,000 | 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 $66.00 to $66.30, 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 shares subject to the option are fully vested and exercisable as of the date hereof.