0001567619-22-014382.txt : 20220722 0001567619-22-014382.hdr.sgml : 20220722 20220722213707 ACCESSION NUMBER: 0001567619-22-014382 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220720 FILED AS OF DATE: 20220722 DATE AS OF CHANGE: 20220722 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nguyen Tran CENTRAL INDEX KEY: 0001457013 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35676 FILM NUMBER: 221100883 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 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 doc1.xml FORM 4 X0306 4 2022-07-20 0 0001559053 PROTHENA CORP PUBLIC LTD CO PRTA 0001457013 Nguyen Tran C/O PROTHENA BIOSCIENCES INC 331 OYSTER POINT BOULEVARD SOUTH SAN FRANCISCO CA 94080 0 1 0 0 Chief Strategy Officer and CFO Ordinary Shares, par value $0.01 per share 2022-07-20 4 M 0 42120 6.73 A 45320 D Ordinary Shares, par value $0.01 per share 2022-07-20 4 S 0 25136 32.3249 D 20184 D Ordinary Shares, par value $0.01 per share 2022-07-20 4 S 0 16984 32.7321 D 3200 D Ordinary Shares, par value $0.01 per share 2022-07-21 4 M 0 20560 6.73 A 23760 D Ordinary Shares, par value $0.01 per share 2022-07-21 4 S 0 20555 32.6405 D 3205 D Ordinary Shares, par value $0.01 per share 2022-07-21 4 S 0 5 33.69 D 3200 D Ordinary Shares, par value $0.01 per share 2022-07-22 4 M 0 7320 6.73 A 10520 D Ordinary Shares, par value $0.01 per share 2022-07-22 4 S 0 7320 32.5483 D 3200 D Stock Option (Right to Buy) 6.73 2022-07-20 4 M 0 42120 0 D 2023-03-31 Ordinary Shares 42120 107880 D Stock Option (Right to Buy) 6.73 2022-07-21 4 M 0 20560 0 D 2023-03-31 Ordinary Shares 20560 87320 D Stock Option (Right to Buy) 6.73 2022-07-22 4 M 0 7320 0 D 2023-03-31 Ordinary Shares 7320 80000 D The transactions reported in the Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in connection with a court stipulation and proposed order regarding the separation of assets ("Court Order") in anticipation of a potential divorce settlement agreement. The transaction was executed in multiple trades in prices ranging from $31.54 to $32.535, 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 range set forth in this footnote. The transaction was executed in multiple trades in prices ranging from $32.54 to $33.12, 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 range set forth in this footnote. The transaction was executed in multiple trades in prices ranging from $32.28 to $32.895, 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 range set forth in this footnote. The transaction was executed in multiple trades in prices ranging from $32.15 to $32.91, 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 range set forth in this footnote. The option was granted on April 1, 2013 and all shares subject to the option were fully vested and exercisable. The option will expire in approximately eight months and be forfeited to the extent it is not exercised on or prior to March 31, 2023. The Reporting Person holds options that give him the right to acquire an aggregate of 933,837 shares at exercises prices ranging from $6.73 to $32.45, of which 733,253 are currently exercisable, and 200,584 are currently unexercisable but vest over time, subject to the Reporting Person's continued employment with the Issuer on each applicable vesting date of each option award. Certain of these options are subject to the Court Order. /s/ Karin L. Walker, as Attorney in Fact for Tran B. Nguyen 2022-07-22