SEC Form 4 · accession 0001209191-15-071559
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
Sep 18, 2015
Accepted (ET)
Sep 21, 2015 · 1:23 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 | Sep 18, 2015 | M | 2,934 | $5.10 | A | 2,934 | D | |
| Common StockF1 | Sep 18, 2015 | M | 978 | $5.10 | A | 3,912 | D | |
| Common StockF1 | Sep 18, 2015 | M | 5,000 | $9.00 | A | 8,912 | D | |
| Common StockF2,F1 | Sep 18, 2015 | S | 8,912 | $55.00 | 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 | $5.10 | Sep 18, 2015 | M | 2,934 | D | Feb 25, 2009 | Feb 25, 2019 | Common Stock | 2,934 | 0 | D |
| Stock Option (Right to Buy)F1 | $5.10 | Sep 18, 2015 | M | 978 | D | Jun 9, 2009 | Jun 9, 2019 | Common Stock | 978 | 0 | D |
| Stock OptionF1 | $9.00 | Sep 18, 2015 | M | 5,000 | D | Feb 24, 2010 | Feb 24, 2020 | Common Stock | 5,000 | 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 17, 2015, as amended on May 11, 2015.
- F2These shares were sold in a single transaction at a price of $55.000.