Form Type: 4

SEC EDGAR Link
Accession Number:0001567619-21-019301
Date:2021-11-01
Issuer: PROTHENA CORP PUBLIC LTD CO (PRTA)
Original Submission Date:

Reporting Person:

KARP CAROL D.
C/O PROTHENA BIOSCIENCES INC
331 OYSTER POINT BOULEVARD SOUTH SAN FRANCISCO, CA 94080

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
ORDINARY SHARES, PAR VALUE $0.01 PER SHARE 2021-11-01 M 10,000 a $15.04 10,000 direct
ORDINARY SHARES, PAR VALUE $0.01 PER SHARE 2021-11-01 S 2,338 d $55.00 7,662 direct
ORDINARY SHARES, PAR VALUE $0.01 PER SHARE 2021-11-01 S 2,725 d $56.65 4,937 direct
ORDINARY SHARES, PAR VALUE $0.01 PER SHARE 2021-11-01 S 4,937 d $58.51 0 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 15.04 2021-11-01 deemed execution date M 10,000 (d) 2028-06-21 ordinary shares 10,000 $15.04 120,000 direct
Footnotes
IDfootnote
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.

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