0001209191-20-006640.txt : 20200204 0001209191-20-006640.hdr.sgml : 20200204 20200204185146 ACCESSION NUMBER: 0001209191-20-006640 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200131 FILED AS OF DATE: 20200204 DATE AS OF CHANGE: 20200204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dier Mardi CENTRAL INDEX KEY: 0001574591 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35935 FILM NUMBER: 20575617 MAIL ADDRESS: STREET 1: PORTOLA PHARMACEUTICALS, INC. STREET 2: 270 EAST GRAND AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PORTOLA PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001269021 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 270 EAST GRAND AVENUE, SUITE 22 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-244-6864 MAIL ADDRESS: STREET 1: 270 EAST GRAND AVENUE, SUITE 22 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-01-31 0 0001269021 PORTOLA PHARMACEUTICALS INC PTLA 0001574591 Dier Mardi C/O PORTOLA PHARMACEUTICALS, INC. 270 EAST GRAND AVENUE SOUTH SAN FRANCISCO CA 94080 0 1 0 0 EVP, CFO & CBO Common Stock 2020-01-31 4 A 0 16250 0.00 A 84968 D Common Stock 2020-02-03 4 F 0 3435 12.89 D 81533 D Stock Option (Right to Buy) 12.79 2020-01-31 4 A 0 65000 0.00 A 2030-01-30 Common Stock 65000 65000 D Grant of Restricted Stock Units ("RSUs") in consideration of services rendered. The RSUs vest in three equal annual installments subject to Reporting Person's Continuous Service under the Issuer's plan documents as of each vest date. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. The sale is intended to comply with the requirements of Rule 10b5-1(c)(1)(i)(B) under the Exchange Act and be interpreted to meet the requirements of Rule 10b5-1(c). The options shall vest as follows: 1/48th of the shares subject to the option shall vest each month after January 31, 2020, subject to the Reporting Person's Continuous Service as of each such date. /s/ Mike Ouimette, as attorney-in-fact 2020-02-04