10-Q/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 10-Q/A

 

 

(Mark One)

QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the quarterly period ended March 31, 2018

Or

 

TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Commission file number: 001-35676

 

 

PROTHENA CORPORATION PUBLIC LIMITED COMPANY

(Exact name of registrant as specified in its charter)

 

 

 

Ireland   98-1111119

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification Number)

Adelphi Plaza

Upper George’s Street

Dún Laoghaire

Co. Dublin, A96 T927, Ireland

(Address of principal executive offices including Zip Code)

Registrant’s telephone number, including area code: 011-353-1-236-2500

 

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.    Yes  ☒    No  ☐

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    Yes  ☒    No  ☐

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer      Accelerated filer  
Non-accelerated filer   ☐ (Do not check if a smaller reporting company)    Smaller reporting company  
     Emerging growth company  

If an emerging growth company that prepares its financial statements in accordance with U.S. GAAP, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).    Yes  ☐    No  ☒

The number of ordinary shares outstanding as of April 20, 2018 was 39,822,336.

 

 

 


EXPLANATORY NOTE

This Amendment No. 1 to the Form 10-Q (this “Amendment”) amends the Quarterly Report on Form 10-Q of Prothena Corporation plc for the period ended March 31, 2018 filed on May 9, 2018 (the “Form 10-Q”) for the sole purpose of refiling Exhibit 10.1(a), Exhibit 10.1(b), Exhibit 10.2 and Exhibit 10.3 (certain portions of which are omitted pursuant to a confidential treatment request filed with the Securities and Exchange Commission (the “SEC”)) and in connection therewith, to amend Part II, Item 6 of the Form 10-Q and the Exhibit Index to the Form 10-Q. In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by our principal executive officer and principal financial officer are filed as exhibits to this Amendment.

No other changes have been made to the Form 10-Q. This Amendment does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way the disclosures made in the original Form 10-Q.


Item 6.

Exhibits

EXHIBIT INDEX

 

         Incorporated by Reference     

Exhibit

    No.    

  Description    Form    File No.    Filing Date    Exhibit    Filed
Herewith
  10.1(a)   License Agreement, dated as of November 4, 2013, between The Regents of the University of California and Neotope Biosciences Limited                X
  10.1(b)   License Agreement Amendment Number One, dated as of January 15, 2014, to License Agreement dated as of November  4, 2013, between The Regents of the University of California and Neotope Biosciences Limited                X
  10.2   Exclusive License Agreement, dated as of July 25, 2016, between University Health Network and Prothena Biosciences Limited                X
  10.3   Master Collaboration Agreement, dated as of March 20, 2018, between Prothena Biosciences Limited and Celgene Switzerland LLC                X
  10.4   Share Subscription Agreement, dated as of March 20, 2018, between Celgene Switzerland LLC and Prothena Corporation plc    10-Q    001-35676    5/9/2018    10.4   
  31.1   Certification of Principal Executive Officer pursuant to Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002    10-Q    001-35676    5/9/2018    31.1   
  31.2   Certification of Principal Financial Officer pursuant to Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002    10-Q    001-35676    5/9/2018    31.2   
  31.3   Certification of Principal Executive Officer pursuant to Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002                X
  31.4   Certification of Principal Financial Officer pursuant to Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002                X


  32.1*    Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section  1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002    10-Q    001-35676    5/9/2018    32.1                    
101.INS    XBRL Instance Document    10-Q    001-35676    5/9/2018    101.INS   
101.SCH    XBRL Taxonomy Extension Schema Document    10-Q    001-35676    5/9/2018    101.SCH   
101.CAL    XBRL Taxonomy Extension Calculation Linkbase Document    10-Q    001-35676    5/9/2018    101.CAL   
101.DEF    XBRL Taxonomy Extension Definition Linkbase Document    10-Q    001-35676    5/9/2018    101.DEF   
101.LAB    XBRL Taxonomy Extension Label Linkbase Document    10-Q    001-35676    5/9/2018    101.LAB   
101.PRE    XBRL Taxonomy Extension Presentation Linkbase Document    10-Q    001-35676    5/9/2018    101.PRE   

 

Portions of this exhibit (indicated by asterisks) have been omitted pursuant to a request for confidential treatment and this exhibit has been filed separately with the SEC.

*

Exhibit 32.1 is being furnished and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liability of that section, nor shall such exhibit be deemed to be incorporated by reference in any registration statement or other document filed under the Securities Act of 1933, as amended, or the Exchange Act, except as otherwise specifically stated in such filing.


SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

Dated: August 17, 2018      

Prothena Corporation plc

(Registrant)

     

/s/ Gene G. Kinney

      Gene G. Kinney
      President and Chief Executive Officer
     

/s/ Tran B. Nguyen

      Tran B. Nguyen
     

Chief Operating Officer

and

Chief Financial Officer