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