SEC Form 4 · accession 0001209191-15-017388
PORTOLA PHARMACEUTICALS INC · PTLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mardi Dier
Officer — Executive VP and CFO
Period of report
Feb 23, 2015
Accepted (ET)
Feb 23, 2015 · 6:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001269021
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 23, 2015 | M | 2,238 | $5.00 | A | 2,238 | D | |
| Common StockF1 | Feb 23, 2015 | M | 3,454 | $4.10 | A | 5,692 | D | |
| Common StockF2,F1 | Feb 23, 2015 | S | 5,692 | $39.95 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $5.00 | Feb 23, 2015 | M | 2,238 | D | Sep 20, 2007 | Sep 20, 2017 | Common Stock | 2,238 | 0 | D |
| Stock Option (Right to Buy)F1 | $4.10 | Feb 23, 2015 | M | 3,454 | D | Dec 23, 2008 | Dec 23, 2018 | Common Stock | 3,454 | 0 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 3, 2014.
- F2These shares were sold in a single transaction at a price of $39.95.