SEC Form 4 · accession 0000899243-17-022966
PROTHENA CORP PUBLIC LTD CO · PRTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wagner M. Zago
Officer — Chief Scientific Officer
Period of report
Sep 28, 2017
Accepted (ET)
Sep 29, 2017 · 5:15 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 28, 2017 | M | 900 | $6.41 | A | 900 | D | |
| Ordinary Shares, par value $0.01 per share | Sep 28, 2017 | S | 900 | $70.00 | 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)F2 | $6.41 | Sep 28, 2017 | M | 900 | D | — | Jan 29, 2023 | Ordinary Shares | 900 | 15,100 | D |
Explanation of responses
- F1The sales reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.
- F2The original grant was for 36,000 shares, of which 20,000 shares have been exercised and sold. The remaining shares underlying the option (15,100 shares) are fully vested and exercisable as of the date hereof.