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Filing Details

Accession Number:: 0001140361-18-031065
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-07-02 21:11:42
Reporting Period:: 2018-07-02

Accepted Time:: 2018-07-02 21:11:42
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
1055951	Orbimed Advisors Llc	601 Lexington Avenue 54Th Floor New York NY 10022		No	No	No	No
1615374	Orbimed Capital Gp V Llc	601 Lexington Avenue 54Th Floor New York NY 10022		No	No	No	No

Reported Non-Derivative Transactions

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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	1,559,716	$0.00	1,559,716	No	4	C	Indirect	By OrbiMed Private Investments V, LP
Common Stock	Acquisiton	2018-07-02	4,300,774	$0.00	5,860,490	No	4	C	Indirect	By OrbiMed Private Investments V, LP
Common Stock	Acquisiton	2018-07-02	3,591,194	$0.00	9,451,684	No	4	C	Indirect	By OrbiMed Private Investments V, LP
Common Stock	Acquisiton	2018-07-02	1,069,175	$0.00	10,520,859	No	4	C	Indirect	By OrbiMed Private Investments V, LP
Common Stock	Acquisiton	2018-07-02	368,421	$19.00	10,889,280	No	4	P	Indirect	By OrbiMed Private Investments V, LP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By OrbiMed Private Investments V, LP
No	4	C	Indirect	By OrbiMed Private Investments V, LP
No	4	C	Indirect	By OrbiMed Private Investments V, LP
No	4	C	Indirect	By OrbiMed Private Investments V, LP
No	4	P	Indirect	By OrbiMed Private Investments V, LP

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Convertible Preferred Stock	Disposition	2018-07-02	6,207,674	$0.00	1,559,716	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2018-07-02	17,117,085	$0.00	4,300,774	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2018-07-02	14,292,958	$0.00	3,591,194	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2018-07-02	4,255,319	$0.00	1,069,175	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

Each of the Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock was convertible at any time at the option of the holder into Common Stock at a rate of 1/3.98, for no additional consideration, and had no expiration date. Each of the Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted into Common Stock, at a rate of 1/3.98 and for no additional consideration, upon closing of the Issuer's initial public offering of its Common Stock.
These securities are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the sole general partner of OPI V, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP V. By virtue of such relationships, GP V and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI V.
This report on Form 4 is jointly filed by GP V and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. The Reporting Persons have designated a representative, David P. Bonita, an employee of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.