Filing Details

Accession Number:
0001595585-19-000244
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-11-05 20:03:31
Reporting Period:
2019-11-01
Accepted Time:
2019-11-05 20:03:31
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
1591465 Claire Lockey
7000 Shoreline Court, Suite 201
South San Francisco CA 94080
Chief Dev. Officer And Sr. Vp No Yes 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 2019-11-01 448 $0.80 448 No 4 M Direct
Common Stock Disposition 2019-11-01 448 $37.25 0 No 4 S Direct
Common Stock Acquisiton 2019-11-01 10,100 $0.72 10,100 No 4 M Direct
Common Stock Disposition 2019-11-01 3,700 $37.72 6,400 No 4 S Direct
Common Stock Disposition 2019-11-01 6,400 $38.74 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (right to buy) Disposition 2019-11-01 448 $0.00 448 $0.80
Common Stock Employee Stock Option (right to buy) Disposition 2019-11-01 10,100 $0.00 10,100 $0.72
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
29,859 2025-12-14 No 4 M Direct
10,000 2024-12-03 No 4 M Direct
Footnotes
  1. 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.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.27 to $38.25, 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 (3) and (4) to this Form 4.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.30 to $39.19, inclusive.
  4. This option vested 25% on November 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.
  5. This option vested 25% on November 26, 2015, 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.