SEC Form 4 · accession 0001209191-15-051541
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
Jun 8, 2015
Accepted (ET)
Jun 9, 2015 · 6:13 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 StockF1 | Jun 8, 2015 | M | 3,924 | $5.00 | A | 3,924 | D | |
| Common StockF1 | Jun 8, 2015 | M | 12,195 | $4.10 | A | 16,119 | D | |
| Common StockF2 | Jun 8, 2015 | S | 16,119 | $43.00 | 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 | Jun 8, 2015 | M | 3,924 | D | Sep 20, 2007 | Sep 20, 2017 | Common Stock | 3,924 | 0 | D |
| Stock Option (Right to Buy)F1 | $4.10 | Jun 8, 2015 | M | 12,195 | D | Dec 23, 2008 | Dec 23, 2018 | Common Stock | 12,195 | 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 May 11, 2015.
- F2These shares were sold in a single transaction at a price of $43.00