SEC Form 4 · accession 0001209191-18-036770
PORTOLA PHARMACEUTICALS INC · PTLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Stump
Director
Period of report
Jun 8, 2018
Accepted (ET)
Jun 8, 2018 · 6:23 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 | Jun 8, 2018 | A | 3,000 | $0.00 | A | 9,000 | 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 | $42.81 | Jun 8, 2018 | A | 6,000 | A | — | Jun 7, 2028 | Common Stock | 6,000 | 6,000 | D |
Explanation of responses
- F1Grant of Restricted Stock Units ("RSU") in consideration of services rendered. The RSUs fully vest on March 1, 2019, subject to Reporting Person's Continuous Service (as defined in the Issuer's 2013 Equity Incentive Plan) as of such date.
- F2The Option shall vest as follows: 1/12th of the shares subject to the option shall vest on the first of each month after the grant date, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2013 Equity Incentive Plan) as of each such date.