# EDGAR Filing Document

**Accession Number:** 0001376117
**File Stem:** 0001567619-23-000574
**Filing Date:** 2023-1
**Character Count:** 8333
**Document Hash:** c4c48079e630b85d258be9c70ee8cc5d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001567619-23-000574.hdr.sgml**: 20230105

**ACCESSION NUMBER**: 0001567619-23-000574

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230103

**FILED AS OF DATE**: 20230105

**DATE AS OF CHANGE**: 20230105

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Ekman Lars
- **CENTRAL INDEX KEY:** 0001376117

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-35676
- **FILM NUMBER:** 23513588

**MAIL ADDRESS:**
- **STREET 1:** C/O ULTRAGENYX PHARMACEUTICAL INC.
- **STREET 2:** 60 LEVERONI COURT
- **CITY:** NOVATO
- **STATE:** CA
- **ZIP:** 94949
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PROTHENA CORP PUBLIC LTD CO
- **CENTRAL INDEX KEY:** 0001559053
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** L2
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 77 SIR JOHN ROGERSON'S QUAY, BLOCK C
- **STREET 2:** GRAND CANAL DOCKLANDS
- **CITY:** DUBLIN 2
- **STATE:** L2
- **ZIP:** D02 VK60
- **BUSINESS PHONE:** 011-353-1-236-2500

**MAIL ADDRESS:**
- **STREET 1:** 77 SIR JOHN ROGERSON'S QUAY, BLOCK C
- **STREET 2:** GRAND CANAL DOCKLANDS
- **CITY:** DUBLIN 2
- **STATE:** L2
- **ZIP:** D02 VK60

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Prothena Corp plc
- **DATE OF NAME CHANGE:** 20121102

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Neotope Corp Ltd
- **DATE OF NAME CHANGE:** 20120926

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Ekman Lars<br><sub>(Last) (First) (Middle)</sub><br>C/O PROTHENA BIOSCIENCES INC<br>331 OYSTER POINT BOULEVARD<br><sub>(Street)</sub><br>SOUTH SAN FRANCISCO, CA 94080<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_Chair of the Board_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>PROTHENA CORP PUBLIC LTD CO [ PRTA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Ordinary Shares, par value $0.01 per share | 2023-01-03 |  | M |  | 15834 | A | $6.41 | 16077 | D |  |
| Ordinary Shares, par value $0.01 per share | 2023-01-03 |  | S<sup>(1)</sup> |  | 3411 | D | 54.1503<sup>(2)</sup> | 12666 | D |  |
| Ordinary Shares, par value $0.01 per share | 2023-01-03 |  | S<sup>(1)</sup> |  | 2897 | D | 55.3472<sup>(3)</sup> | 9769 | D |  |
| Ordinary Shares, par value $0.01 per share | 2023-01-03 |  | S<sup>(1)</sup> |  | 6621 | D | 56.3314<sup>(4)</sup> | 3148 | D |  |
| Ordinary Shares, par value $0.01 per share | 2023-01-03 |  | S<sup>(1)</sup> |  | 1303 | D | 56.9789<sup>(5)</sup> | 1845 | D |  |
| Ordinary Shares, par value $0.01 per share | 2023-01-03 |  | S<sup>(1)</sup> |  | 1523 | D | 58.6692<sup>(6)</sup> | 322 | D |  |
| Ordinary Shares, par value $0.01 per share | 2023-01-03 |  | S<sup>(1)</sup> |  | 10 | D | $59.46 | 312 | D |  |
| Ordinary Shares, par value $0.01 per share | 2023-01-03 |  | S<sup>(1)</sup> |  | 69 | D | 60.8467<sup>(7)</sup> | 243 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (right to buy) | $6.41 | 2023-01-03 |  | M |  |  | 15834 | <sup>(8)</sup> | 2023-01-29 | Ordinary Shares | 15834 | $0 | 0 | D |  |

---

### Footnotes:

(1) The transactions reported in the Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

(2) The transaction was executed in multiple trades in prices ranging from $53.74 to $54.68, 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 7 of this Form 4.

(3) The transaction was executed in multiple trades in prices ranging from $54.75 to $55.74, inclusive.

(4) The transaction was executed in multiple trades in prices ranging from $55.76 to $56.755, inclusive.

(5) The transaction was executed in multiple trades in prices ranging from $56.76 to $57.31, inclusive.

(6) The transaction was executed in multiple trades in prices ranging from $58.195 to $58.92, inclusive.

(7) The transaction was executed in multiple trades in prices ranging from $60.77 to $61.00, inclusive.

(8) The option was granted on January 29, 2013, and all shares subject to the option were fully vested and exercisable January 29, 2014. The option would have expired in approximately one month and would have been forfeited to the extent it was not exercised on or prior to January 29, 2023.

**Signature:** /s/ Michael J. Malecek, as attorney-in-fact for Lars G. Ekman  
**Date:** 2023-01-05

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**