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