Filing Details
- Accession Number:
- 0001438133-22-000087
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-05-19 19:14:19
- Reporting Period:
- 2022-05-17
- Accepted Time:
- 2022-05-19 19:14:19
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1438133 | Tandem Diabetes Care Inc | TNDM | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1238913 | D Kim Blickenstaff | C/O Tandem Diabetes Care, Inc. 11075 Roselle Street San Diego CA 92121 | 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 | 2022-05-17 | 6,560 | $9.00 | 8,452 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-05-18 | 2,205 | $0.00 | 10,657 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-05-17 | 13,562 | $73.73 | 215,952 | No | 4 | M | Indirect | See Footnote |
| Common Stock | Disposition | 2022-05-17 | 10,762 | $92.91 | 205,190 | No | 4 | S | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Indirect | See Footnote |
| No | 4 | S | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Acquisiton | 2022-05-17 | 6,560 | $9.00 | 6,560 | $9.00 |
| Common Stock | Warrant | Acquisiton | 2022-05-17 | 13,562 | $73.73 | 13,562 | $73.73 |
| Common Stock | Restricted Stock Unit | Acquisiton | 2022-05-18 | 2,205 | $0.00 | 2,205 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 0 | 2022-05-17 | No | 4 | M | Indirect | |
| 0 | No | 4 | M | Direct |
Footnotes
- Represents shares of common stock received upon exercise of a stock option award.
- The transaction reflects the cashless exercise of warrants to purchase common stock, at an exercise price of $73.726. Pursuant to the terms of the warrant, the shares of common stock were sold at a price equal to the average of the closing prices of the shares over the 30-day period ending three days prior to the date on which the notice of exercise was received by the Issuer.
- The securities are held by the Kim Blickenstaff Revocable Trust dated April 15, 2010.
- The options vested as to twenty-five percent (25%) of the underlying shares on 5/17/2018, and the remaining shares vested in thirty-six (36) equal monthly installments thereafter, subject to the terms of Tandem Diabetes Care, Inc. 2013 Stock Incentive Plan (the 2013 Plan).
- The expiration date for these options is 10 years from the date of grant.
- The expiration dates for these warrants are May 25, 2022 (2,712 shares), and July 3, 2022 (10,850 shares).
- Awarded on May 18, 2021 pursuant to the 2013 Plan, as amended, and the agreements related thereto.
- Each restricted stock (RSU) unit represents a contingent right to receive one share of common stock of the Company.
- Shares will vest on the one year anniversary of the grant date, subject to the terms of the 2013 Plan.
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