SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Curnutte John T

(Last) (First) (Middle)
C/O PORTOLA PHARMACEUTICALS, INC.
270 EAST GRAND AVENUE, SUITE 22

(Street)
SOUTH SAN FRANCISCO CA 94080

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/21/2013
3. Issuer Name and Ticker or Trading Symbol
PORTOLA PHARMACEUTICALS INC [ PTLA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Executive Vice President
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) (1) 03/22/2021 Common Stock 213,682 $8.5 D
Stock Option (Right to Buy) (2) 03/07/2022 Common Stock 29,999 $7 D
Stock Option (Right to Buy) (3) 12/12/2022 Common Stock 24,148 $9.5 D
Explanation of Responses:
1. The Option shares shall vest as follows: one-fourth (1/4th) of the shares vest one year after February 14, 2011; the balance of the shares vest in a series of thirty-six (36) successive equal monthly installments measured from the first anniversary of February 14, 2011, subject to Reporting Person's Continuous Service (as defined in the Issuer's 2003 Equity Incentive Plan) as of each such date.
2. The Option shares shall vest as follows: one-fourth (1/4th) of the shares vest one year after March 8, 2012; the balance of the shares vest in a series of thirty-six (36) successive equal monthly installments measured from the first anniversary of March 8, 2012, subject to Reporting Person's Continuous Service (as defined in the Issuer's 2003 Equity Incentive Plan) as of each such date.
3. The Option shares shall vest as follows: one-fourth (1/4th) of the shares vest one year after December 12, 2012; the balance of the shares vest in a series of thirty-six (36) successive equal monthly installments measured from the first anniversary of December 12, 2012, subject to Reporting Person's Continuous Service (as defined in the Issuer's 2003 Equity Incentive Plan) as of each such date.
Remarks:
/s/ Sally A. Kay, as attorney-in-fact 05/21/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.