SEC Form 4 · accession 0001209191-17-021197
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
Mar 15, 2017
Accepted (ET)
Mar 16, 2017 · 6:45 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 | Mar 15, 2017 | M | 5,935 | $7.00 | A | 5,935 | D | |
| Common StockF1 | Mar 15, 2017 | M | 4,300 | $8.50 | A | 4,300 | D | |
| Common StockF2,F1 | Mar 15, 2017 | S | 10,235 | $40.02 | 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 | $7.00 | Mar 15, 2017 | M | 5,935 | D | Mar 8, 2012 | Mar 8, 2022 | Common Stock | 5,935 | 8,350 | D |
| Stock Option (Right to Buy)F1 | $8.50 | Mar 15, 2017 | M | 4,300 | D | Mar 23, 2011 | Mar 23, 2021 | Common Stock | 4,300 | 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 February 23, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.18, 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 footnotes (2) and (3) to this Form 4.