Carol D. Karp - 01 Oct 2021 Form 4 Insider Report for PROTHENA CORP PUBLIC LTD CO (PRTA)

Signature
/s/ Michael Malecek, as Attorney in Fact for Carol D. Karp
Issuer symbol
PRTA
Transactions as of
01 Oct 2021
Net transactions value
-$531,936
Form type
4
Filing time
01 Oct 2021, 20:46:58 UTC
Previous filing
10 Sep 2021
Next filing
03 Nov 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PRTA Ordinary Shares, par value $0.01 per share Options Exercise $150,400 +10,000 $15.04* 10,000 01 Oct 2021 Direct
transaction PRTA Ordinary Shares, par value $0.01 per share Sale $173,152 -2,600 -26% $66.60 7,400 01 Oct 2021 Direct F1, F2
transaction PRTA Ordinary Shares, par value $0.01 per share Sale $178,098 -2,620 -35% $67.98 4,780 01 Oct 2021 Direct F1, F3
transaction PRTA Ordinary Shares, par value $0.01 per share Sale $135,085 -1,967 -41% $68.68 2,813 01 Oct 2021 Direct F1, F4
transaction PRTA Ordinary Shares, par value $0.01 per share Sale $180,997 -2,600 -92% $69.61 213 01 Oct 2021 Direct F1, F5
transaction PRTA Ordinary Shares, par value $0.01 per share Sale $15,004 -213 -100% $70.44 0 01 Oct 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PRTA Stock Option (Right to Buy) Options Exercise $0 -10,000 -7.1% $0.000000 130,000 01 Oct 2021 Ordinary Shares 10,000 $15.04 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The transactions reported in the Form 4 were 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 $66.29 to $67.035, 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 transaction was executed in multiple trades in prices ranging from $67.33 to $68.30, 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.
F4 The transaction was executed in multiple trades in prices ranging from $68.33 to $69.13, 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.
F5 The transaction was executed in multiple trades in prices ranging from $69.33 to $70.115, 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.
F6 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 June 21, 2019 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.