SEC Form 4 · accession 0001209191-18-007241
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
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 7:57 pm EST
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 | Jan 31, 2018 | A | 10,625 | $0.00 | A | 10,625 | 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)F2 | $51.31 | Jan 31, 2018 | A | 42,500 | A | — | Jan 30, 2028 | Common Stock | 42,500 | 42,500 | D |
Explanation of responses
- F1Grant of Restricted Stock Units ("RSU") in consideration of services rendered. The RSU vests annually over three years commencing on March 1, 2018, subject to Reporting Person's Continuous Service (as defined in the Issuer's 2013 Equity Incentive Plan) as of each such date.
- F2The option shall vest as follows: 1/48th of the shares subject to the option shall vest each month after January 1, 2018, subject to the Reporting Person's Continuous Service as of each such date.