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