0000899243-17-022969.txt : 20170929 0000899243-17-022969.hdr.sgml : 20170929 20170929171726 ACCESSION NUMBER: 0000899243-17-022969 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170927 FILED AS OF DATE: 20170929 DATE AS OF CHANGE: 20170929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nickerson Tara CENTRAL INDEX KEY: 0001564461 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35676 FILM NUMBER: 171112374 MAIL ADDRESS: STREET 1: C/O PROTHENA CORPORATION PLC STREET 2: 650 GATEWAY BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 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: ADELPHI PLAZA STREET 2: UPPER GEORGE'S STREET CITY: DUN LAOGHAIRE, CO. DUBLIN STATE: L2 ZIP: A96 T927 BUSINESS PHONE: 011-353-1-236-2500 MAIL ADDRESS: STREET 1: ADELPHI PLAZA STREET 2: UPPER GEORGE'S STREET CITY: DUN LAOGHAIRE, CO. DUBLIN STATE: L2 ZIP: A96 T927 FORMER COMPANY: FORMER CONFORMED NAME: Neotope Corp Ltd DATE OF NAME CHANGE: 20120926 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-09-27 0 0001559053 Prothena Corp plc PRTA 0001564461 Nickerson Tara C/O PROTHENA BIOSCIENCES INC 331 OYSTER POINT BOULEVARD SOUTH SAN FRANCISCO CA 94080 0 1 0 0 Chief Business Officer Ordinary Shares, par value $0.01 per share 2017-09-27 4 M 0 4724 6.73 A 6724 D Ordinary Shares, par value $0.01 per share 2017-09-27 4 S 0 4724 69.0494 D 2000 D Ordinary Shares, par value $0.01 per share 2017-09-28 4 M 0 12776 6.73 A 14776 D Ordinary Shares, par value $0.01 per share 2017-09-28 4 S 0 12776 69.1966 D 2000 D Stock Option (right to buy) 6.73 2017-09-27 4 M 0 4724 0.00 D 2023-01-29 Ordinary Shares 4724 31276 D Stock Option (right to buy) 6.73 2017-09-28 4 M 0 12776 0.00 D 2023-01-29 Ordinary Shares 12776 18500 D The sales 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 $69.00 to $69.39, 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 $69.00 to $69.99, 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 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. /s/ A.W. Homan, as Attorney-in-Fact for Tara Nickerson 2017-09-29