Nguyen Tran's Form 4 filing
Prothena Corp Public Ltd Co (PRTA) · filed May 17, 2023
- Accession no.
- 0001140361-23-025342
- Filed
- May 17, 2023
- Trade date
- May 17, 2023
- Filing delay
- Same day
- Rule 10b5-1 plan
- Checked
This filing lists 7 non-derivative transactions and 2 derivative transactions. Open-market sales total $7.03M. It was filed on the trade date.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Nguyen TranCIK 0001457013 | Officer (Chief Strategy Officer and CFO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 17, 2023 | Ordinary Shares, par value $0.01 per share | MOption exerciseAcquired | +45,000 | $29.81 | +$1,341,450 | 48,200 | Direct | |
| May 17, 2023 | Ordinary Shares, par value $0.01 per share | MOption exerciseAcquired | +50,000 | $22.85 | +$1,142,500 | 98,200 | Direct | |
| May 17, 2023 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −14,001 | $72.66F2 | −$1,017,312.66 | 84,199 | Direct | |
| May 17, 2023 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −34,640 | $73.54F3 | −$2,547,425.6 | 49,559 | Direct | |
| May 17, 2023 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −37,044 | $74.55F4 | −$2,761,630.2 | 12,515 | Direct | |
| May 17, 2023 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −9,215 | $75.44F5 | −$695,179.6 | 3,300 | Direct | |
| May 17, 2023 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −100 | $76.04 | −$7,604 | 3,200 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 17, 2023 | Ordinary Shares | MOption exerciseDisposed | −45,000 | $0.00 | $0 | 0 | Direct | |
| May 17, 2023 | Ordinary Shares | MOption exerciseDisposed | −50,000 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The transaction was executed in multiple trades in prices ranging from $72.03 to $73.02, 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 ranges set forth in footnotes 2 through 5 of this Form 4.
Referenced by the price of 1 transaction in Table I.
- F3
The transaction was executed in multiple trades in prices ranging from $73.03 to $74.025, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
The transaction was executed in multiple trades in prices ranging from $74.03 to $75.02, inclusive.
Referenced by the price of 1 transaction in Table I.
- F5
The transaction was executed in multiple trades in prices ranging from $75.04 to $76.025, inclusive.
Referenced by the price of 1 transaction in Table I.