SEC Form 4 · accession 0001209191-15-060838
PORTOLA PHARMACEUTICALS INC · PTLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles J Homcy
Director
Period of report
Jul 13, 2015
Accepted (ET)
Jul 14, 2015 · 6:59 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 | Jul 13, 2015 | M | 50,000 | $3.30 | A | 50,000 | D | |
| Common StockF2,F1 | Jul 13, 2015 | S | 50,000 | $48.00 | 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 | $3.30 | Jul 13, 2015 | M | 50,000 | D | Sep 6, 2006 | Sep 6, 2016 | Common Stock | 50,000 | 20,067 | 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 29, 2015.
- F2These shares were sold in multiple transactions at a single price $48.00. 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 the price set forth in this Form 4.