Filing Details
- Accession Number:
- 0001595585-19-000240
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-10-29 21:22:55
- Reporting Period:
- 2019-10-25
- Accepted Time:
- 2019-10-29 21:22:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1595585 | Tricida Inc. | TCDA | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1283972 | Dr R Klaus Veitinger | 7000 Shoreline Court Suite 201 South San Francisco CA 94080 | Yes | No | No | No |
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 | 2019-10-25 | 1,750 | $0.80 | 43,065 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-10-25 | 1,750 | $36.31 | 41,315 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-10-25 | 1,750 | $36.30 | 53,194 | No | 4 | S | Indirect | By Sigrun R. Veitinger 2016 Irrevocable Trust |
| Common Stock | Disposition | 2019-10-25 | 1,750 | $36.29 | 53,194 | No | 4 | S | Indirect | By Klaus R. Veitinger 2016 Children's Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | By Sigrun R. Veitinger 2016 Irrevocable Trust |
| No | 4 | S | Indirect | By Klaus R. Veitinger 2016 Children's Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2019-10-25 | 1,750 | $0.00 | 1,750 | $0.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,750 | 2025-03-08 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 21, 2018.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.96 to $36.76, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2), (3) and (5) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.87 to $36.78, inclusive.
- A third party serves as trustee for these trusts. The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.96 to $36.77, inclusive.
- This option vested 25% on March 9, 2016, and the remaining 75% vested in 36 substantially equal monthly installments thereafter, subject to reporting person's continuous service as of each vesting date. The option contained an early-exercise provision and was exercisable as to unvested shares, subject to the issuer's right of repurchase.
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