Filing Details
- Accession Number:
- 0001595585-20-000011
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-05 21:31:34
- Reporting Period:
- 2020-02-03
- Accepted Time:
- 2020-02-05 21:31:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1595585 | Tricida Inc. | TCDA | Pharmaceutical Preparations (2834) | 463372526 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1748808 | Parsell Dawn Otto | 7000 Shoreline Court, Suite 201 South San Francisco CA 94080 | Sr Vp, Clinical Development | 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 | 2020-02-03 | 210 | $1.68 | 465 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-03 | 210 | $35.58 | 255 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-02-03 | 2,994 | $1.68 | 3,249 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-03 | 258 | $35.58 | 2,991 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-02-03 | 2,336 | $36.74 | 655 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-02-03 | 400 | $37.51 | 255 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-02-03 | 523 | $2.39 | 778 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-03 | 523 | $37.31 | 255 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-02-03 | 523 | $7.49 | 778 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-03 | 523 | $37.62 | 255 | 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 | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2020-02-03 | 210 | $0.00 | 210 | $1.68 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2020-02-03 | 2,994 | $0.00 | 2,994 | $1.68 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2020-02-03 | 523 | $0.00 | 523 | $2.39 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2020-02-03 | 523 | $0.00 | 523 | $7.49 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,050 | 2026-09-26 | No | 4 | M | Direct | |
| 11,806 | 2026-11-02 | No | 4 | M | Direct | |
| 18,321 | 2027-09-13 | No | 4 | M | Direct | |
| 24,602 | 2028-03-14 | 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 August 12, 2019.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.10 to $36.01, 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), (4), (5) and (6) 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 $36.22 to $37.18, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.31 to $37.72, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.18 to $37.43, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.43 to $37.70, inclusive.
- This option vested 25% on June 8, 2017, 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.
- This option vested 25% on October 1, 2017, 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.
- This option vests 25% on September 1, 2018, 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.
- This option vests 25% on March 15, 2019, 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.
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