UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

FORM 10-Q/A

(Amendment No. 1)

 

(Mark One)

| x | Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 |
|--------|----------------------------------------------------------------------------------------------|

  For the quarterly period ended June 30, 2015

or

| o | Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 |
|--------|-----------------------------------------------------------------------------------------------|

For the transition period from ______  to  ______

Commission File Number 001-35935

 

PORTOLA PHARMACEUTICALS, INC.

(Exact Name of Registrant as Specified in Its Charter)

 

| Delaware                                                       | 20-0216859                           |
|----------------------------------------------------------------|--------------------------------------|
| (State or Other Jurisdiction of Incorporation or Organization) | (I.R.S. Employer Identification No.) |
|                                                           |                                 |
| 270 E. Grand Avenue

South San Francisco, California           | 94080                                |
| (Address of Principal Executive Offices)                       | (Zip Code)                           |

(650) 246-7000

(Registrant’s Telephone Number, Including Area Code)

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.    Yes  x    No  o

Indicate by check mark whether the registrant submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    Yes  x   No  o

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act:

 

| Large accelerated filer | x                                                                                  |   | Accelerated filer         | o |
|-----------------------------------|-----------------------------------------------------------------------------------------|--------|---------------------------|--------|
|                              |                                                                                    |   |                      |   |
| Non-accelerated filer        | o(Do not check if  a smaller reporting company) |   | Smaller reporting company | o |

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).    Yes  o    No  x

As of July 30, 2015, the number of outstanding shares of the registrant’s common stock, par value $0.001 per share, was 52,563,503.

 

 

 

 

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EXPLANATORY NOTE

Portola Pharmaceuticals, Inc. (the “Company”) filed its Quarterly Report on Form 10-Q for the period ended June 30, 2015, on August 5, 2015 (the “Original Filing”). The Company is filing this Amendment No. 1 on Form 10-Q/A to refile Exhibit 32.1 thereto. This Amendment No. 1 on Form 10-Q/A does not reflect subsequent events occurring after the filing date of the Original Filing or modify or update any disclosures made in the Original Filing, except as described above.

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

|           | PORTOLA PHARMACEUTICALS, INC. |
|----------------|-------------------------------|
|           |                          |   |
| August 6, 2015 | By:                           | /s/ William Lis |
|           |                          | William Lis |
|           |                          | Chief Executive Officer |
|           |                          |   |
| August 6, 2015 | By:                           | /s/ Mardi C. Dier |
|           |                          | Mardi C. Dier |
|           |                          | Chief Financial Officer |

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INDEX TO EXHIBITS TO FORM 10-Q/A

 

|    |   |                                                                                                                                                                                                                                                             |   | Incorporation By Reference |
|---------|--------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|----------------------------|
| Exhibit |   | Exhibit Description                                                                                                                                                                                                                                              |   | Form                       |   | SEC File No. |   | Exhibit |   | Filing Date |
|    |   |                                                                                                                                                                                                                                                             |   |                       |   |   |   |   |   |   |
| 31.1*   |   | Certification of Principal Executive Officer pursuant to Rule 13a-14(a) or Rule 15d- 14(a) of the Securities Exchange Act of 1934, as amended.                                                                                                                   |   |                       |   |   |   |   |   |   |
|    |   |                                                                                                                                                                                                                                                             |   |                       |   |   |   |   |   |   |
| 31.2*   |   | Certification of Principal Financial Officer pursuant to Rule 13a-14(a) or Rule 15d- 14(a) of the Securities Exchange Act of 1934, as amended.                                                                                                                   |   |                       |   |   |   |   |   |   |
|    |   |                                                                                                                                                                                                                                                             |   |                       |   |   |   |   |   |   |
| 32.1*   |   | Certification of Principal Executive Officer and Principal Financial Officer pursuant to Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended, and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.(1) |   |                       |   |   |   |   |   |   |

 

| * | Filed herewith |
|---|----------------|

| (1) | This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing. |
|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|