Prothena Corp plc 4
4 · Prothena Corp plc · Filed Nov 19, 2015
Insider Transaction Report
Form 4
Schenk Dale B.
DirectorPresident & CEO
Transactions
- Exercise/Conversion
Ordinary Shares, par value $0.01 per share
2015-11-17$6.03/sh+33,333$200,998→ 33,333 total - Sale
Ordinary Shares, par value $0.01 per share
2015-11-17$66.83/sh−9,826$656,655→ 18,207 total - Sale
Ordinary Shares, par value $0.01 per share
2015-11-17$68.65/sh−7,200$494,310→ 3,633 total - Gift
Ordinary Shares, par value $0.01 per share
2015-11-19+3,333→ 14,877 total(indirect: By Trust) - Exercise/Conversion
Stock Option (right to buy)
2015-11-17−33,333→ 383,334 totalExercise: $6.03Exp: 2023-01-29→ Ordinary Shares (33,333 underlying) - Gift
Ordinary Shares, par value $0.01 per share
2015-08-31−3,333→ 0 total - Gift
Ordinary Shares, par value $0.01 per share
2015-08-31+3,333→ 11,544 total(indirect: By Trust) - Sale
Ordinary Shares, par value $0.01 per share
2015-11-17$65.78/sh−5,300$348,623→ 28,033 total - Sale
Ordinary Shares, par value $0.01 per share
2015-11-17$67.89/sh−7,374$500,628→ 10,833 total - Sale
Ordinary Shares, par value $0.01 per share
2015-11-17$69.37/sh−300$20,810→ 3,333 total - Gift
Ordinary Shares, par value $0.01 per share
2015-11-19−3,333→ 0 total
Footnotes (9)
- [F1]Represents transfer of shares to the Schenk Family Trust, dated 2/9/2004, of which Reporting Person is a Co Trustee with his spouse.
- [F2]The shares are held by the Schenk Family Trust, dated 2/9/2004, of which Reporting Person is a Co Trustee with his spouse.
- [F3]The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.
- [F4]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.
- [F5]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.
- [F6]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.
- [F7]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.
- [F8]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.
- [F9]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.