Tran Nguyen - Nov 23, 2022 Form 4 Insider Report for PROTHENA CORP PUBLIC LTD CO (PRTA)

Role
Chief Strategy Officer and CFO
Signature
/s/ Michael Malecek, as Attorney in Fact for Tran B. Nguyen
Stock symbol
PRTA
Transactions as of
Nov 23, 2022
Transactions value $
-$543,554
Form type
4
Date filed
11/25/2022, 08:31 PM
Previous filing
Oct 21, 2022
Next filing
Dec 23, 2022

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 $67.3K +10K +312.5% $6.73* 13.2K Nov 23, 2022 Direct
transaction PRTA Ordinary Shares, par value $0.01 per share Sale -$275K -4.55K -34.45% $60.53 8.65K Nov 23, 2022 Direct F1, F2
transaction PRTA Ordinary Shares, par value $0.01 per share Sale -$244K -3.98K -46.04% $61.28 4.67K Nov 23, 2022 Direct F1, F3
transaction PRTA Ordinary Shares, par value $0.01 per share Sale -$91.5K -1.47K -31.46% $62.28 3.2K Nov 23, 2022 Direct F1, F4

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 -10K -20% $0.00 40K Nov 23, 2022 Ordinary Shares 10K $6.73 Direct F5, 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 in connection with a court stipulation and proposed order regarding the separation of assets ("Court Order") in anticipation of a potential divorce settlement agreement.
F2 The transaction was executed in multiple trades in prices ranging from $59.885 to $60.88, 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 footnotes 2 through 4 of this Form 4.
F3 The transaction was executed in multiple trades in prices ranging from $60.90 to $61.885, inclusive.
F4 The transaction was executed in multiple trades in prices ranging from $61.91 to $62.685, inclusive.
F5 The option was granted on April 1, 2013 and all shares subject to the option were fully vested and exercisable. The option will expire in approximately four months and be forfeited to the extent it is not exercised on or prior to March 31, 2023.
F6 The Reporting Person holds options that give him the right to acquire an aggregate of 893,837 shares at exercise prices ranging from $6.73 to $32.45, of which 720,857 are currently exercisable, and 172,980 are currently unexercisable but vest over time, subject to the Reporting Person's continued employment with the Issuer on each applicable vesting date of each option award. Certain of these options are subject to the Court Order.