Nguyen Tran's Form 4 filing
Prothena Corp Public Ltd Co (PRTA) · filed Jul 22, 2022
- Accession no.
- 0001567619-22-014382
- Filed
- Jul 22, 2022
- Trade date
- Jul 20-22, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 3 derivative transactions. Open-market sales total $2.28M. It was filed 2 days after the trade.
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 20, 2022 | Ordinary Shares, par value $0.01 per share | MOption exerciseAcquired | +42,120 | $6.73 | +$283,467.6 | 45,320 | Direct | |
| Jul 20, 2022 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −25,136 | $32.32F2 | −$812,395.52 | 20,184 | Direct | |
| Jul 20, 2022 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −16,984 | $32.73F3 | −$555,886.32 | 3,200 | Direct | |
| Jul 21, 2022 | Ordinary Shares, par value $0.01 per share | MOption exerciseAcquired | +20,560 | $6.73 | +$138,368.8 | 23,760 | Direct | |
| Jul 21, 2022 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −20,555 | $32.64F4 | −$670,915.2 | 3,205 | Direct | |
| Jul 21, 2022 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −5 | $33.69 | −$168.45 | 3,200 | Direct | |
| Jul 22, 2022 | Ordinary Shares, par value $0.01 per share | MOption exerciseAcquired | +7,320 | $6.73 | +$49,263.6 | 10,520 | Direct | |
| Jul 22, 2022 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −7,320 | $32.55F5 | −$238,266 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 20, 2022 | Ordinary Shares | MOption exerciseDisposed | −42,120 | $0.00 | $0 | 107,880 | Direct | |
| Jul 21, 2022 | Ordinary Shares | MOption exerciseDisposed | −20,560 | $0.00 | $0 | 87,320 | Direct | |
| Jul 22, 2022 | Ordinary Shares | MOption exerciseDisposed | −7,320 | $0.00 | $0 | 80,000 | 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 $31.54 to $32.535, 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.
Referenced by the price of 1 transaction in Table I.
- F3
The transaction was executed in multiple trades in prices ranging from $32.54 to $33.12, 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.
Referenced by the price of 1 transaction in Table I.
- F4
The transaction was executed in multiple trades in prices ranging from $32.28 to $32.895, 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.
Referenced by the price of 1 transaction in Table I.
- F5
The transaction was executed in multiple trades in prices ranging from $32.15 to $32.91, 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.
Referenced by the price of 1 transaction in Table I.