0001595585-19-000240.txt : 20191029 0001595585-19-000240.hdr.sgml : 20191029 20191029212255 ACCESSION NUMBER: 0001595585-19-000240 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191025 FILED AS OF DATE: 20191029 DATE AS OF CHANGE: 20191029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VEITINGER KLAUS R DR CENTRAL INDEX KEY: 0001283972 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38558 FILM NUMBER: 191177345 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tricida, Inc. CENTRAL INDEX KEY: 0001595585 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 463372526 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7000 SHORELINE COURT, SUITE 201 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 415-429-7800 MAIL ADDRESS: STREET 1: 7000 SHORELINE COURT, SUITE 201 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 wf-form4_157239854753733.xml FORM 4 X0306 4 2019-10-25 0 0001595585 Tricida, Inc. TCDA 0001283972 VEITINGER KLAUS R DR 7000 SHORELINE COURT SUITE 201 SOUTH SAN FRANCISCO CA 94080 1 0 0 0 Common Stock 2019-10-25 4 M 0 1750 0.80 A 43065 D Common Stock 2019-10-25 4 S 0 1750 36.31 D 41315 D Common Stock 2019-10-25 4 S 0 1750 36.30 D 53194 I By Sigrun R. Veitinger 2016 Irrevocable Trust Common Stock 2019-10-25 4 S 0 1750 36.29 D 53194 I By Klaus R. Veitinger 2016 Children's Trust Stock Option (right to buy) 0.8 2019-10-25 4 M 0 1750 0 D 2025-03-08 Common Stock 1750.0 1750 D 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 $35.96 to $36.76, 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) and (5) 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 $35.87 to $36.78, 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 $35.96 to $36.77, inclusive. This option vested 25% on March 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. /s/ Edward J. Hejlek, attorney-in-fact 2019-10-29