Nguyen Tran's Form 4 filing
Prothena Corp Public Ltd Co (PRTA) · filed Mar 17, 2023
- Accession no.
- 0001567619-23-005291
- Filed
- Mar 17, 2023
- Trade date
- Mar 15, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $484.3K. 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 15, 2023 | Ordinary Shares, par value $0.01 per share | MOption exerciseAcquired | +10,000 | $6.73 | +$67,300 | 13,200 | Direct | |
| Mar 15, 2023 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −4,802 | $48.16F2 | −$231,264.32 | 8,398 | Direct | |
| Mar 15, 2023 | Ordinary Shares, par value $0.01 per share | SSaleDisposed | −5,198 | $48.68F3 | −$253,038.64 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 15, 2023 | Ordinary Shares | MOption exerciseDisposed | −10,000 | $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 $47.43 to $48.405, 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 footnotes 2 through 3 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 $48.43 to $49.03, inclusive.
Referenced by the price of 1 transaction in Table I.