Filing Details

Accession Number:
0001140361-22-043172
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-11-25 21:31:49
Reporting Period:
2022-11-23
Accepted Time:
2022-11-25 21:31:49
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1559053 Prothena Corp Public Ltd Co PRTA () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1457013 Tran Nguyen C/O Prothena Biosciences Inc
331 Oyster Point Boulevard
South San Francisco CA 94080
Chief Strategy Officer And Cfo No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Ordinary Shares, Par Value $0.01 Per Share Acquisiton 2022-11-23 10,000 $6.73 13,200 No 4 M Direct
Ordinary Shares, Par Value $0.01 Per Share Disposition 2022-11-23 4,547 $60.53 8,653 No 4 S Direct
Ordinary Shares, Par Value $0.01 Per Share Disposition 2022-11-23 3,984 $61.28 4,669 No 4 S Direct
Ordinary Shares, Par Value $0.01 Per Share Disposition 2022-11-23 1,469 $62.28 3,200 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Ordinary Shares Stock Option (Right to Buy) Disposition 2022-11-23 10,000 $0.00 10,000 $6.73
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
40,000 2023-03-31 No 4 M Direct
Footnotes
  1. The transactions reported in the Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in connection with a court stipulation and proposed order regarding the separation of assets ("Court Order") in anticipation of a potential divorce settlement agreement.
  2. The transaction was executed in multiple trades in prices ranging from $59.885 to $60.88, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in footnotes 2 through 4 of this Form 4.
  3. The transaction was executed in multiple trades in prices ranging from $60.90 to $61.885, inclusive.
  4. The transaction was executed in multiple trades in prices ranging from $61.91 to $62.685, inclusive.
  5. The option was granted on April 1, 2013 and all shares subject to the option were fully vested and exercisable. The option will expire in approximately four months and be forfeited to the extent it is not exercised on or prior to March 31, 2023.
  6. The Reporting Person holds options that give him the right to acquire an aggregate of 893,837 shares at exercise prices ranging from $6.73 to $32.45, of which 720,857 are currently exercisable, and 172,980 are currently unexercisable but vest over time, subject to the Reporting Person's continued employment with the Issuer on each applicable vesting date of each option award. Certain of these options are subject to the Court Order.