0000899243-16-031699.txt : 20161014
0000899243-16-031699.hdr.sgml : 20161014
20161014160528
ACCESSION NUMBER: 0000899243-16-031699
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161013
FILED AS OF DATE: 20161014
DATE AS OF CHANGE: 20161014
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Prothena Corp plc
CENTRAL INDEX KEY: 0001559053
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: L2
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 25-28 NORTH WALL QUAY
CITY: DUBLIN
STATE: L2
ZIP: DUBLIN 1
BUSINESS PHONE: 650-615-2119
MAIL ADDRESS:
STREET 1: 25-28 NORTH WALL QUAY
CITY: DUBLIN
STATE: L2
ZIP: DUBLIN 1
FORMER COMPANY:
FORMER CONFORMED NAME: Neotope Corp Ltd
DATE OF NAME CHANGE: 20120926
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Walker Karin L
CENTRAL INDEX KEY: 0001559422
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35676
FILM NUMBER: 161937154
MAIL ADDRESS:
STREET 1: C/O PROTHENA CORPORATION PLC
STREET 2: 650 GATEWAY BOULEVARD
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-10-13
0
0001559053
Prothena Corp plc
PRTA
0001559422
Walker Karin L
C/O PROTHENA BIOSCIENCES INC
650 GATEWAY BOULEVARD
SOUTH SAN FRANCISCO
CA
94080
0
1
0
0
See Remarks
Ordinary Shares, par value $0.01 per share
2016-10-13
4
M
0
3000
9.75
A
3000
D
Ordinary Shares, par value $0.01 per share
2016-10-13
4
S
0
1200
53.6963
D
1800
D
Ordinary Shares, par value $0.01 per share
2016-10-13
4
S
0
1800
54.7369
D
0
D
Ordinary Shares, par value $0.01 per share
2016-10-13
4
M
0
2000
29.81
A
2000
D
Ordinary Shares, par value $0.01 per share
2016-10-13
4
S
0
1100
53.6082
D
900
D
Ordinary Shares, par value $0.01 per share
2016-10-13
4
S
0
900
54.7133
D
0
D
Stock Option (right to buy)
9.75
2016-10-13
4
M
0
3000
0.00
D
2023-06-02
Ordinary Shares
3000
8000
D
Stock Option (right to buy)
29.81
2016-10-13
4
M
0
2000
0.00
D
2024-02-04
Ordinary Shares
2000
5000
D
The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.
The transaction was executed in multiple trades in prices ranging from $53.26 to $54.22, 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.
The transaction was executed in multiple trades in prices ranging from $54.49 to $55.00, 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.
The transaction was executed in multiple trades in prices ranging from $53.26 to $54.15, 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.
The transaction was executed in multiple trades in prices ranging from $54.40 to $54.91, 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.
The 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.
The shares subject to the option will vest and become exercisable as to 25% of the total number of shares subject to the option on February 4, 2015 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.
Controller, Chief Accounting Officer and Head of Accounting
/s/ Arthur W. Homan, as Attorney-in-Fact for Karin L. Walker
2016-10-14