SEC Form 4 · accession 0001209191-18-059018
PORTOLA PHARMACEUTICALS INC · PTLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles J Homcy
Director
Period of report
Nov 14, 2018
Accepted (ET)
Nov 16, 2018 · 5:24 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 | Nov 14, 2018 | M | 93,698 | $4.10 | A | 93,698 | I | Charles Homcy Revocable Trust |
| Common Stock | holding | — | — | — | 20,000 | I | The Charles J. Homcy 2009 Grantor Retained Annuity Trust | |
| Common Stock | holding | — | — | — | 112,471 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $4.10 | Nov 14, 2018 | M | 93,698 | D | Dec 23, 2008 | Dec 22, 2018 | Common Stock | 93,698 | 65,610 | D |
Explanation of responses
- F1Dr. Homcy exercised these shares through a cash exercise and transferred the shares following the exercise into the Charles Homcy Revocable Trust for which Dr. Homcy is a trustee.