SEC Form 4 · accession 0001209191-18-063579
PORTOLA PHARMACEUTICALS INC · PTLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles J Homcy
Director
Period of report
Dec 17, 2018
Accepted (ET)
Dec 19, 2018 · 7:07 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 | Dec 17, 2018 | M | 64,218 | $4.10 | A | 176,689 | D | |
| Common StockF2,F1 | Dec 17, 2018 | S | 63,518 | $18.602 | D | 113,171 | D | |
| Common StockF3,F1 | Dec 17, 2018 | S | 700 | $19.20 | D | 112,471 | D | |
| Common StockF4 | Dec 19, 2018 | M | 25,782 | $4.10 | A | 119,480 | I | Charles Homcy Revocable Trust |
| Common Stock | holding | — | — | — | 20,000 | I | The Charles J. Homcy 2009 Grantor Retained Annuity Trust |
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 | $4.10 | Dec 17, 2018 | M | 24,390 | D | Dec 23, 2008 | Dec 22, 2018 | Common Stock | 24,390 | 0 | D |
| Stock Option (Right to Buy)F1 | $4.10 | Dec 17, 2018 | M | 39,828 | D | Dec 23, 2008 | Dec 22, 2018 | Common Stock | 39,828 | 25,782 | D |
| Stock Option (Right to Buy)F4 | $4.10 | Dec 19, 2018 | M | 25,782 | D | Dec 23, 2008 | Dec 22, 2018 | Common Stock | 25,782 | 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 September 7, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.2000 to $19.1900, inclusive.
- F3These sales were sold in a single transaction at a price of $19.20.
- F4Dr. 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.