Carol D. Karp - Nov 1, 2021 Form 4 Insider Report for PROTHENA CORP PUBLIC LTD CO (PRTA)

Role
Chief Regulatory Officer
Signature
/s/ Michael Malecek, as Attorney in Fact for Carol D. Karp
Stock symbol
PRTA
Transactions as of
Nov 1, 2021
Transactions value $
-$421,418
Form type
4
Date filed
11/3/2021, 09:17 PM
Previous filing
Oct 1, 2021
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 $150K +10K $15.04* 10K Nov 1, 2021 Direct
transaction PRTA Ordinary Shares, par value $0.01 per share Sale -$129K -2.34K -23.38% $55.00 7.66K Nov 1, 2021 Direct F1, F2
transaction PRTA Ordinary Shares, par value $0.01 per share Sale -$154K -2.73K -35.57% $56.65 4.94K Nov 1, 2021 Direct F1, F3
transaction PRTA Ordinary Shares, par value $0.01 per share Sale -$289K -4.94K -100% $58.51 0 Nov 1, 2021 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 -7.69% $0.00 120K Nov 1, 2021 Ordinary Shares 10K $15.04 Direct F5
* 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 $54.92 to $55.16, 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 $56.185 to $56.89, 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 $58.14 to $58.76, 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 shares subject to the option 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.