0001140361-23-034303.txt : 20230712 0001140361-23-034303.hdr.sgml : 20230712 20230712204530 ACCESSION NUMBER: 0001140361-23-034303 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230712 FILED AS OF DATE: 20230712 DATE AS OF CHANGE: 20230712 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Brandon S. CENTRAL INDEX KEY: 0001805226 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35676 FILM NUMBER: 231085595 MAIL ADDRESS: STREET 1: C/O PROTHENA BIOSCIENCES INC. STREET 2: 331 OYSTER POINT BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PROTHENA CORP PUBLIC LTD CO 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: 77 SIR JOHN ROGERSON'S QUAY, BLOCK C STREET 2: GRAND CANAL DOCKLANDS CITY: DUBLIN 2 STATE: L2 ZIP: D02 VK60 BUSINESS PHONE: 011-353-1-236-2500 MAIL ADDRESS: STREET 1: 77 SIR JOHN ROGERSON'S QUAY, BLOCK C STREET 2: GRAND CANAL DOCKLANDS CITY: DUBLIN 2 STATE: L2 ZIP: D02 VK60 FORMER COMPANY: FORMER CONFORMED NAME: Prothena Corp plc DATE OF NAME CHANGE: 20121102 FORMER COMPANY: FORMER CONFORMED NAME: Neotope Corp Ltd DATE OF NAME CHANGE: 20120926 4 1 form4.xml X0407 4 2023-07-12 0001559053 PROTHENA CORP PUBLIC LTD CO PRTA 0001805226 Smith Brandon S. C/O PROTHENA BIOSCIENCES INC 331 OYSTER POINT BOULEVARD SOUTH SAN FRANCISCO CA 94080 true Chief Operating Officer true Ordinary Shares, par value $0.01 per share 2023-07-12 4 M 0 4000 11.12 A 4000 D Ordinary Shares, par value $0.01 per share 2023-07-12 4 S 0 3200 67.396 D 800 D Ordinary Shares, par value $0.01 per share 2023-07-12 4 S 0 800 67.948 D 0 D Stock Option (Right to Buy) 11.12 2023-07-12 4 M 0 4000 0 D 2030-03-02 Ordinary Shares 4000 230667 D The transactions reported in the Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 13, 2023. The transaction was executed in multiple trades in prices ranging from $66.815 to $67.76, 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 ranges set forth in footnotes 2 through 3 of this Form 4. The transaction was executed in multiple trades in prices ranging from $67.855 to $68.295, inclusive. The shares subject to the option vested and became exercisable as to 25% of the total number of shares subject to the option on March 2, 2021, and will vest 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/ Michael J. Malecek as Attorney in Fact for Brandon S. Smith 2023-07-12