SEC Form 4 · accession 0001209191-18-018991
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 8, 2018
Accepted (ET)
Mar 12, 2018 · 7:58 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 StockF2,F3 | Mar 8, 2018 | D | 10,465 | $38.6875 | D | 63,451 | D | |
| Common StockF4,F5 | Mar 8, 2018 | D | 2,009 | $39.1571 | D | 61,442 | D |
Table II — derivative securities
No Table II lines on this filing.
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 September 18, 2017.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.05 to $39.02, 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 range set forth in footnotes (2) and (4) to this Form 4.
- F3This number includes 31,040 unvested RSUs.
- F4The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.06 to $39.28, 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 range set forth in footnotes (2) and (4) to this Form 4.
- F5This number includes 31,040 unvested RSUs.