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PROTHENA CORP PUBLIC LTD CO — Director's Dealing 2021
Feb 17, 2021
32782_dirs_2021-02-17_0d63f94a-3607-429a-9ca8-61de1831b02a.zip
Director's Dealing
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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: Zago Wagner M. (Chief Scientific Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-12 | Ordinary Shares, par value $0.01 per share | M | 7560 | $6.41 | Acquired | 7560 | Direct |
| 2021-02-12 | Ordinary Shares, par value $0.01 per share | S | 7560 | $17.07 | Disposed | 0 | Direct |
| 2021-02-12 | Ordinary Shares, par value $0.01 per share | M | 18750 | $13.53 | Acquired | 18750 | Direct |
| 2021-02-12 | Ordinary Shares, par value $0.01 per share | S | 18750 | $20.0004 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-12 | Stock Option (Right to Buy) | $6.41 | M | 7560 | Disposed | 2023-01-29 | Ordinary Shares (7560) | Direct |
| 2021-02-12 | Stock Option (Right to Buy) | $13.53 | M | 18750 | Disposed | 2029-02-27 | Ordinary Shares (18750) | Direct |
Footnotes
F1: The sales 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 $20.00 to $20.04, 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.
F3: The original grant was for 36,000 shares, of which 28,460 shares have been exercised and sold. The remaining shares underlying the option (7,540 shares) are fully vested and exercisable as of the date hereof.
F4: 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 February 27, 2020 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.