SEC Form 4 · accession 0001209191-15-041466
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
May 11, 2015
Accepted (ET)
May 12, 2015 · 12:47 pm EDT
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 Stock | May 11, 2015 | M | 4,523 | $7.00 | A | 4,523 | D | |
| Common Stock | May 11, 2015 | M | 9,151 | $9.50 | A | 13,674 | D | |
| Common StockF1 | May 11, 2015 | S | 13,674 | $38.212 | 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) | $7.00 | May 11, 2015 | M | 4,523 | D | Mar 8, 2012 | Mar 8, 2022 | Common Stock | 4,523 | 1,191 | D |
| Stock Option (Right to Buy) | $9.50 | May 11, 2015 | M | 9,151 | D | Dec 13, 2012 | Dec 13, 2022 | Common Stock | 9,151 | 13,290 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.00 to $38.445, inclusive. The reporting person undertakes to provide Portola Pharmaceuticals, Inc., any security holder of Portola Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.