Filing Details
- Accession Number:
- 0001209191-17-042399
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-29 20:15:31
- Reporting Period:
- 2017-06-27
- Filing Date:
- 2017-06-29
- Accepted Time:
- 2017-06-29 20:15:31
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1269021 | Portola Pharmaceuticals Inc | PTLA | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1574558 | William Lis | C/O Portola Pharmaceuticals, Inc. 270 East Grand Ave. South San Francisco CA 94080 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-06-27 | 95,850 | $9.00 | 95,850 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-06-27 | 55,000 | $8.50 | 55,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-06-27 | 14,285 | $7.00 | 14,285 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-06-27 | 70,014 | $7.00 | 70,014 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-06-27 | 20,000 | $9.80 | 20,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-06-27 | 129,271 | $54.92 | 125,878 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-27 | 112,778 | $55.90 | 13,100 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-27 | 13,100 | $56.57 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-06-28 | 14,150 | $9.00 | 14,150 | No | 4 | M | Direct | |
| Common | Disposition | 2017-06-28 | 14,150 | $55.35 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2017-06-27 | 95,850 | $0.00 | 95,850 | $9.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2017-06-27 | 55,000 | $0.00 | 55,000 | $8.50 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2017-06-27 | 14,285 | $0.00 | 14,285 | $7.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2017-06-27 | 70,014 | $0.00 | 70,014 | $7.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2017-06-27 | 20,000 | $0.00 | 20,000 | $9.80 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2017-06-28 | 14,150 | $0.00 | 14,150 | $9.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 115,970 | 2010-07-14 | 2020-07-14 | No | 4 | M | Direct |
| 2,070 | 2011-03-23 | 2021-03-23 | No | 4 | M | Direct |
| 0 | 2012-03-08 | 2022-03-08 | No | 4 | M | Direct |
| 0 | 2012-03-08 | 2022-03-08 | No | 4 | M | Direct |
| 69,796 | 2013-02-27 | 2023-02-27 | No | 4 | M | Direct |
| 101,820 | 2010-07-14 | 2020-07-14 | No | 4 | M | Direct |
Footnotes
- The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16,2017 and amended on March 21, 2017.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.41 to $55.41, inclusive. The reporting person undertakes to provide Portola Pharmaceuticals, Inc., any security holder of Portola Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (5) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.42 to $56.41, inclusive. The reporting person undertakes to provide Portola Pharmaceuticals, Inc., any security holder of Portola Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (5) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.42 to $56.77, inclusive. The reporting person undertakes to provide Portola Pharmaceuticals, Inc., any security holder of Portola Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (5) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.00 to $55.68, inclusive. The reporting person undertakes to provide Portola Pharmaceuticals, Inc., any security holder of Portola Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (5) to this Form 4.
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