PROTHENA CORP PUBLIC LTD CO — Director's Dealing 2021

Feb 17, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PROTHENA CORP PUBLIC LTD CO (PRTA)
CIK: 0001559053
Period of Report: 2021-02-12

Reporting Person: EcoR1 Capital, LLC (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-12	Ordinary Shares	P	62500	$20.5	Acquired	9489140	Indirect
2021-02-12	Ordinary Shares	P	282800	$20.0796	Acquired	9771940	Indirect
2021-02-16	Ordinary Shares	P	89200	$22.7799	Acquired	9861140	Indirect
2021-02-17	Ordinary Shares	P	198840	$23.4638	Acquired	10059980	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-17	Call Option	$30	P	2500	Acquired	2021-06-30	Ordinary Shares (250000)	Indirect

Footnotes

F1: The filing persons (the "Filers") are EcoR1 Capital, LLC ("EcoR1"), Oleg Nodelman and EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund"). EcoR1 is the general partner and investment adviser of private funds, including Qualified Fund (collectively, the "Funds"). Mr. Nodelman is the manager and controlling owner of EcoR1. EcoR1 is filing this Form 3 for itself, Mr. Nodelman and Qualified Fund. The Filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group, within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. The Funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the Funds, and Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Filers disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F2: All of the Ordinary Shares purchased in this transaction were purchased by Qualified Fund. After this transaction, Qualified Fund owned 7,915,587 Ordinary Shares.

F3: All of the Ordinary Shares purchased in this transaction were purchased by Qualified Fund. After this transaction, Qualified Fund owned 8,198,387 Ordinary Shares.

F4: 80,040 of the Ordinary Shares purchased in this transaction were purchased by Qualified Fund. After this transaction, Qualified Fund owned 8,278,427 Ordinary Shares.

F5: 166,926 of the Ordinary Shares purchased in this transaction were purchased by Qualified Fund. After this transaction, Qualified Fund owned 8,445,353 Ordinary Shares.

F6: 2,099 of the options purchased in this transaction were purchased by Qualified Fund. After this transaction, Qualified Fund owned 2,099 options to acquire 209,900 Ordinary Shares.