Wagner M. Zago - Jun 22, 2021 Form 4 Insider Report for PROTHENA CORP PUBLIC LTD CO (PRTA)

Role
Chief Scientific Officer
Signature
/s/ Michael Malecek, as Attorney in Fact for Wagner M. Zago
Stock symbol
PRTA
Transactions as of
Jun 22, 2021
Transactions value $
-$3,265,829
Form type
4
Date filed
6/24/2021, 04:38 PM
Next filing
Feb 25, 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 $303K +15K $20.17 15K Jun 22, 2021 Direct F1
transaction PRTA Ordinary Shares, par value $0.01 per share Options Exercise $528K +19K +126.67% $27.81 34K Jun 22, 2021 Direct F1
transaction PRTA Ordinary Shares, par value $0.01 per share Options Exercise $1.22M +81.3K +238.97% $15.04* 115K Jun 22, 2021 Direct F1
transaction PRTA Ordinary Shares, par value $0.01 per share Sale -$2.99M -65.8K -57.13% $45.42 49.4K Jun 22, 2021 Direct F1, F2
transaction PRTA Ordinary Shares, par value $0.01 per share Sale -$1.21M -26.1K -52.84% $46.27 23.3K Jun 22, 2021 Direct F1, F3
transaction PRTA Ordinary Shares, par value $0.01 per share Sale -$865K -18.1K -77.67% $47.81 5.2K Jun 22, 2021 Direct F1, F4
transaction PRTA Ordinary Shares, par value $0.01 per share Sale -$255K -5.2K -100% $49.01 0 Jun 22, 2021 Direct F1, F5

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 -15K -100% $0.00* 0 Jun 22, 2021 Ordinary Shares 15K $20.17 Direct F1, F6
transaction PRTA Stock Option (Right to Buy) Options Exercise $0 -19K -100% $0.00* 0 Jun 22, 2021 Ordinary Shares 19K $27.81 Direct F1, F6
transaction PRTA Stock Option (Right to Buy) Options Exercise $0 -81.3K -54.17% $0.00 68.8K Jun 22, 2021 Ordinary Shares 81.3K $15.04 Direct F1, F7
* 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 $45.015 to $46.00, 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 $46.03 to $46.89, 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 $47.31 to $48.30, 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.
F5 The transaction was executed in multiple trades in prices ranging from $48.31 to $49.11, 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 were fully vested as of the date of the exercise.
F7 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.