Statement of Changes in Beneficial Ownership (4)
June 15 2020 - 7:16PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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STUMP DAVID C |
2. Issuer Name and Ticker or Trading Symbol
PORTOLA PHARMACEUTICALS INC
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PTLA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O PORTOLA PHARMACEUTICALS, INC., 270 EAST GRAND AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/12/2020 |
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 6/12/2020 | | A | | 7281 (1) | A | $0.00 | 20475 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $17.94 | 6/12/2020 | | A | | 11377 | | (2) | 6/11/2030 | Common Stock | 11377 | $0.00 | 11377 | D | |
Explanation of Responses: |
(1) | Grant of Restricted Stock Units ("RSUs") in consideration of services rendered. The RSUs fully vest on March 1, 2021, subject to the Reporting Person's Continuous Services (as defined in the Issuer's 2013 Equity Incentive Plan) as of such date. |
(2) | The Option shall vest as follows: 1/12th of the shares subject to the option shall vest on the first of each month after the grant date, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2013 Equity Incentive Plan) as of each such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
STUMP DAVID C C/O PORTOLA PHARMACEUTICALS, INC. 270 EAST GRAND AVENUE SOUTH SAN FRANCISCO, CA 94080 | X |
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Signatures
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/s/ Mike Ouimette, as attorney-in-fact | | 6/15/2020 |
**Signature of Reporting Person | Date |
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