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Filing Details

Accession Number:: 0001595585-19-000011
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-01-28 19:26:16
Reporting Period:: 2019-01-25

Accepted Time:: 2019-01-28 19:26:16
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

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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	2019-01-25	2,000	$0.80	41,436	No	4	M	Direct
Common Stock	Disposition	2019-01-25	2,000	$20.85	39,436	No	4	S	Direct
Common Stock	Disposition	2019-01-25	2,000	$20.88	95,444	No	4	S	Indirect	By Sigrun R. Veitinger 2016 Irrevocable Trust
Common Stock	Disposition	2019-01-25	2,000	$20.86	95,444	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

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Disposition	2019-01-25	2,000	$0.00	2,000	$0.80

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
44,000		2025-03-08	No	4	M	Direct

Footnotes

Includes 3,632 shares of restricted stock units ("RSUs") that, subject to the Issuer's initial public offering ("IPO") closing on or before July 16, 2018, vest on the earlier of (i) the one-year anniversary of June 27, 2018 (the "Grant Date") and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date (the "Next Annual Meeting"), subject to the reporting person's continuous service as a non-employee director through such vesting date. Each RSU represents a contingent right to receive one share of Common Stock.
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 $20.46 to $21.13, 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) to this Form 4.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person's trust 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 $20.46 to $21.15, 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 $20.45 to $21.14, inclusive.
This option vested 25% on March 1, 2016, and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject to reporting person's continuous service as of each vesting date. The option contains an early-exercise provision and is exercisable as to unvested shares, subject to the issuer's right of repurchase.