SEC Form 4 · accession 0001209191-19-002183
PORTOLA PHARMACEUTICALS INC · PTLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles J Homcy
Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 5:46 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 2, 2019 | M | 45,923 | $5.10 | A | 165,403 | I | Charles Homcy Revocable Trust |
| Common Stock | holding | — | — | — | 112,471 | D | ||
| 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 | $5.10 | Jan 2, 2019 | M | 19,607 | D | Feb 25, 2009 | Feb 24, 2019 | Common Stock | 19,607 | 0 | D |
| Stock Option (Right to Buy)F1 | $5.10 | Jan 2, 2019 | M | 14,835 | D | Feb 25, 2009 | Feb 24, 2019 | Common Stock | 14,835 | 0 | D |
| Stock Option (Right to Buy)F1 | $5.10 | Jan 2, 2019 | M | 11,481 | D | Jun 9, 2009 | Jun 9, 2019 | Common Stock | 11,481 | 0 | 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.