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PROTHENA CORP PUBLIC LTD CO — Director's Dealing 2015
Dec 11, 2015
32782_dirs_2015-12-11_0bf3e7f9-8ab7-42d0-a292-55c727edf6c9.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Prothena Corp plc (PRTA)
CIK: 0001559053
Period of Report: 2015-12-09
Reporting Person: Nickerson Tara (Chief Business Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-12-09 | Ordinary Shares, par value $0.01 per share | M | 10000 | $6.73 | Acquired | 12000 | Direct |
| 2015-12-09 | Ordinary Shares, par value $0.01 per share | S | 2705 | $65.4163 | Disposed | 9295 | Direct |
| 2015-12-09 | Ordinary Shares, par value $0.01 per share | S | 6695 | $66.398 | Disposed | 2600 | Direct |
| 2015-12-09 | Ordinary Shares, par value $0.01 per share | S | 600 | $66.9433 | Disposed | 2000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-12-09 | Stock Option | |||||||
| (right to buy) | $6.73 | M | 10000 | Disposed | 2023-03-31 | Ordinary Shares (10000) | Direct |
Footnotes
F1: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.
F2: The transaction was executed in multiple trades in prices ranging from $64.77 to $65.75, 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.
F3: The transaction was executed in multiple trades in prices ranging from $65.79 to $66.76, 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.
F4: The transaction was executed in multiple trades in prices ranging from $66.79 to $67.245, 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.
F5: 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.