SEC Form 4 · accession 0001225208-15-021964
PORTOLA PHARMACEUTICALS INC · PTLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey W Bird
Director
Period of report
Dec 4, 2015
Accepted (ET)
Dec 8, 2015 · 5:21 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 StockF2,F3 | Dec 4, 2015 | J | 144,333 | $0.00 | D | 958,491 | I | By Ltd Partnership (SHV) |
| Common StockF4 | Dec 4, 2015 | J | 22,454 | $0.00 | A | 59,053 | I | By Trust (Trustees) |
| Common StockF5 | holding | — | — | — | 36,602 | I | By Ltd Partnership (NEST) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Distribution of shares without consideration to the managing directors of the General Partner of Sutter Hill Ventures, a California Limited Partnership, in accordance with the partnership agreement.
- F2As disclosed in the Issuer's final prospectus supplement dated December 3, 2015 (the "Prospectus Supplement"), filed with the U.S. Securities and Exchange Commission on December 4, 2015, with respect to the Issuer's public offering of common stock (the "Offering"), these distributed shares, following their receipt by the distributees, remain subject to the terms of a lock-up agreement with the underwriters for the Offering during the 90 day period following the date of the Prospectus Supplement.
- F3Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the General Partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares.
- F4Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust.
- F5Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the General Partner. The reporting person disclaims beneficial ownership of these shares except as to the reporting person's pecuniary interest therein.