Filing Details
- Accession Number:
- 0000899243-15-008516
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-19 16:06:28
- Reporting Period:
- 2015-11-17
- Filing Date:
- 2015-11-19
- Accepted Time:
- 2015-11-19 16:06:28
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1559053 | Prothena Corp Plc | PRTA | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1564371 | B. Dale Schenk | C/O Prothena Biosciences Inc 650 Gateway Boulevard South San Francisco CA 94080 | President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Ordinary Shares, Par Value $0.01 Per Share | Disposition | 2015-08-31 | 3,333 | $0.00 | 0 | No | 5 | G | Direct | |
| Ordinary Shares, Par Value $0.01 Per Share | Acquisiton | 2015-08-31 | 3,333 | $0.00 | 11,544 | No | 5 | G | Indirect | By Trust |
| Ordinary Shares, Par Value $0.01 Per Share | Acquisiton | 2015-11-17 | 33,333 | $6.03 | 33,333 | No | 4 | M | Direct | |
| Ordinary Shares, Par Value $0.01 Per Share | Disposition | 2015-11-17 | 5,300 | $65.78 | 28,033 | No | 4 | S | Direct | |
| Ordinary Shares, Par Value $0.01 Per Share | Disposition | 2015-11-17 | 9,826 | $66.83 | 18,207 | No | 4 | S | Direct | |
| Ordinary Shares, Par Value $0.01 Per Share | Disposition | 2015-11-17 | 7,374 | $67.89 | 10,833 | No | 4 | S | Direct | |
| Ordinary Shares, Par Value $0.01 Per Share | Disposition | 2015-11-17 | 7,200 | $68.65 | 3,633 | No | 4 | S | Direct | |
| Ordinary Shares, Par Value $0.01 Per Share | Disposition | 2015-11-17 | 300 | $69.37 | 3,333 | No | 4 | S | Direct | |
| Ordinary Shares, Par Value $0.01 Per Share | Disposition | 2015-11-19 | 3,333 | $0.00 | 0 | No | 5 | G | Direct | |
| Ordinary Shares, Par Value $0.01 Per Share | Acquisiton | 2015-11-19 | 3,333 | $0.00 | 14,877 | No | 5 | G | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 5 | G | Indirect | By Trust |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 5 | G | Direct | |
| No | 5 | G | Indirect | By Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Ordinary Shares | Stock Option (right to buy) | Disposition | 2015-11-17 | 33,333 | $0.00 | 33,333 | $6.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 383,334 | 2023-01-29 | No | 4 | M | Direct |
Footnotes
- Represents transfer of shares to the Schenk Family Trust, dated 2/9/2004, of which Reporting Person is a Co Trustee with his spouse.
- The shares are held by the Schenk Family Trust, dated 2/9/2004, of which Reporting Person is a Co Trustee with his spouse.
- The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.
- The transaction was executed in multiple trades in prices ranging from $65.34 to $66.27, 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.
- The transaction was executed in multiple trades in prices ranging from $66.35 to $67.32, 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.
- The transaction was executed in multiple trades in prices ranging from $67.36 to $68.35, 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.
- The transaction was executed in multiple trades in prices ranging from $68.36 to $69.24, 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.
- The transaction was executed in multiple trades in prices ranging from $69.36 to $69.375, 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.
- 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 or service relationship on each such vesting date.
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