Filing Details
- Accession Number:
- 0001744981-18-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-07-02 21:48:28
- Reporting Period:
- 2018-07-02
- Accepted Time:
- 2018-07-02 21:48:28
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1595585 | Tricida Inc. | TCDA | () | DE |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1593693 | L.p. Ii-A Fund Capital Sibling | 702 San Antonio Street Austin TX 78701 | No | No | Yes | Yes | |
| 1629421 | L.p. Ii-B Fund Capital Sibling | 702 San Antonio Street Austin TX 78701 | No | No | Yes | Yes | |
| 1680279 | L.p. Ii-C Fund Capital Sibling | 702 San Antonio Street Austin TX 78701 | No | No | Yes | Yes | |
| 1708981 | L.p. Ii-D Fund Capital Sibling | 702 San Antonio Street Austin TX 78701 | No | No | Yes | Yes | |
| 1744971 | Sibling Capital Ventures Llc | 702 San Antonio Street Austin TX 78701 | No | No | Yes | Yes | |
| 1744972 | Sibling Capital Ventures Iv Llc | 702 San Antonio Street Austin TX 78701 | No | No | Yes | Yes | |
| 1744973 | Sibling Capital Ventures Ii Llc | 702 San Antonio Street Austin TX 78701 | No | No | Yes | Yes | |
| 1744974 | Sibling Capital Ventures Iii Llc | 702 San Antonio Street Austin TX 78701 | No | No | Yes | Yes | |
| 1744976 | Sibling Co-Investment Llc | 702 San Antonio Street Austin TX 78701 | No | No | Yes | Yes | |
| 1744981 | M. Brian Isern | 702 San Antonio Street Austin TX 78701 | No | No | Yes | Yes |
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 | 2018-07-02 | 169,936 | $0.00 | 245,312 | No | 4 | C | Indirect | By Sibling Co-Investment LLC |
| Common Stock | Acquisiton | 2018-07-02 | 893,292 | $0.00 | 893,292 | No | 4 | C | Indirect | By Sibling Capital Fund II-A L.P. |
| Common Stock | Acquisiton | 2018-07-02 | 3,139,600 | $0.00 | 3,139,600 | No | 4 | C | Indirect | By Sibling Capital Fund II-B L.P. |
| Common Stock | Acquisiton | 2018-07-02 | 1,810,195 | $0.00 | 1,810,195 | No | 4 | C | Indirect | By Sibling Capital Fund II-C L.P. |
| Common Stock | Acquisiton | 2018-07-02 | 599,379 | $0.00 | 599,379 | No | 4 | C | Indirect | By Sibling Capital Fund II-D L.P. |
| Common Stock | Acquisiton | 2018-07-02 | 463,158 | $19.00 | 463,158 | No | 4 | P | Indirect | By Sibling Insiders Fund II L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Sibling Co-Investment LLC |
| No | 4 | C | Indirect | By Sibling Capital Fund II-A L.P. |
| No | 4 | C | Indirect | By Sibling Capital Fund II-B L.P. |
| No | 4 | C | Indirect | By Sibling Capital Fund II-C L.P. |
| No | 4 | C | Indirect | By Sibling Capital Fund II-D L.P. |
| No | 4 | P | Indirect | By Sibling Insiders Fund II L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2018-07-02 | 676,349 | $0.00 | 169,936 | $0.00 |
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2018-07-02 | 3,555,304 | $0.00 | 893,292 | $0.00 |
| Common Stock | Series B Convertible Preferred Stock | Disposition | 2018-07-02 | 12,495,612 | $0.00 | 3,139,600 | $0.00 |
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2018-07-02 | 7,204,578 | $0.00 | 1,810,195 | $0.00 |
| Common Stock | Series D Convertible Preferred Stock | Disposition | 2018-07-02 | 2,385,532 | $0.00 | 599,379 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- The Issuer's (i) Series A Convertible Preferred Stock, (ii) Series B Convertible Preferred Stock, (iii) Series C Convertible Preferred Stock and (iv) Series D Convertible Preferred Stock were each converted upon the closing of the Issuer's initial public offering of its Common Stock into the Issuer's Common Stock at a rate of 1/3.98 (or on an approximately 1-for-0.251256 basis) for no additional consideration and had no expiration date.
- Sibling Co-Investment LLC converted 676,349 shares of Series A Convertible Preferred Stock of the Issuer into 169,936 shares of Common Stock of the Issuer. Sibling Co-Investment LLC is also a direct beneficial owner of 75,376 shares of Common Stock of the Issuer. Sibling Capital Ventures LLC is the sole manager of Sibling Co-Investment LLC. As co-manager of Sibling Capital Ventures LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- Sibling Capital Fund II-A L.P. converted 3,555,304 shares of Series A Convertible Preferred Stock of the Issuer into 893,292 shares of Common Stock of the Issuer. Sibling Capital Ventures LLC is the sole general partner of Sibling Capital Fund II-A L.P. As co-manager of Sibling Capital Ventures LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- Sibling Capital Fund II-B L.P. converted 12,495,612 shares of Series B Convertible Preferred Stock of the Issuer into 3,139,600 shares of Common Stock of the Issuer. Sibling Capital Ventures II LLC is the sole general partner of Sibling Capital Fund II-B L.P. As co-manager of Sibling Capital Ventures II LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- Sibling Capital Fund II-C L.P. converted 7,204,578 shares of Series C Convertible Preferred Stock of the Issuer into 1,810,195 shares of Common Stock of the Issuer. Sibling Capital Ventures III LLC is the sole general partner of Sibling Capital Fund II-C L.P. As co-manager of Sibling Capital Ventures III LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- Sibling Capital Fund II-D L.P. converted 2,385,532 shares of Series D Convertible Preferred Stock of the Issuer into 599,379 shares of Common Stock of the Issuer. Sibling Capital Ventures IV LLC is the sole general partner of Sibling Capital Fund II-D L.P. As co-manager of Sibling Capital Ventures IV LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- Sibling Insiders Fund II L.P. purchased 463,158 shares of Common Stock of the Issuer. Sibling Insiders II LLC is the sole general partner of Sibling Insiders Fund II L.P. As co-manager of Sibling Insiders II LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
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