SEC Form 4 · accession 0001209191-15-028180
PROTHENA CORP PUBLIC LTD CO · PRTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tara Nickerson
Officer — Chief Business Officer
Period of report
Mar 20, 2015
Accepted (ET)
Mar 20, 2015 · 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 | Mar 20, 2015 | M | 13,000 | $6.41 | A | 15,000 | D | |
| Ordinary Shares, par value $0.01 per share | Mar 20, 2015 | S | 13,000 | $39.99 | D | 2,000 | 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 | Mar 20, 2015 | M | 13,000 | D | — | Jan 29, 2023 | Ordinary Shares | 13,000 | 41,000 | 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 shares subject to the option will vest and become exercisable as to 25% of the total number of shares subject to the option on January 29, 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 with the Issuer on each such vesting date.