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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PERRIGO Co plc TREASURY BUILDING LOWER GRAND CANAL STREET DUBLIN 2, L2 |
X | |||
ELAN CORP PLC TREASURY BUILDING LOWER GRAND CANAL STREET DUBLIN 2, L2 00000 |
X | |||
Elan Science One Ltd TREASURY BUILDING LOWER GRAND CANAL STREET DUBLIN, L2 DUBLIN 2 |
X |
/s/ Judy L. Brown | 02/04/2014 | |
**Signature of Reporting Person | Date | |
/s/ William F. Daniel | 02/04/2014 | |
**Signature of Reporting Person | Date | |
/s/ William F. Daniel | 02/04/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The shares were sold by Elan Science One Limited ("ES1") in connection with a marketed underwritten registered offering pursuant to a shelf registration statement on Form S-3 filed by Prothena Corporation plc with the Securities and Exchange Commission (the "SEC") on January 17, 2014, which the SEC declared effective on January 24, 2014 (File No. 333-193416). |
(2) | Represents a price to the public of $26.00 per ordinary share less the underwriting discount. |
(3) | Shares directly owned by ES1. ES1 is an indirect, wholly-owned subsidiary of Perrigo Company plc and Elan Corporation Limited (formerly Elan Corporation, plc). |
Remarks: Exhibit 99.1 - Joint Filer Information |