UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Schenk Dale B. PROTHENA CORPORATION PLC 650 GATEWAY BOULEVARD SOUTH SAN FRANCISCO, CA 94080 |
 X |  |  President & CEO |  |
/s/ Kevin Hickey, as Attorney-in-Fact for Dale B. Schenk | 03/18/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Represents that number of Issuer's ordinary shares held by Reporting Person after giving effect to the distribution of Issuer's ordinary shares in connection with the spin-off of the Issuer from Elan Pharmaceuticals, Inc. ("Elan") completed on December 20, 2012. Reporting Person received one Issuer ordinary share for each 41 Elan ordinary shares or Elan American Depository Shares held by Reporting Person as of December 14, 2012, the record date for the spin off. |
(2) | Shares are held by the Schenk Family Trust dated 2/9/2004, of which Reporting Person is a trustee. |