0001595585-19-000131.txt : 20190708 0001595585-19-000131.hdr.sgml : 20190708 20190708203142 ACCESSION NUMBER: 0001595585-19-000131 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190703 FILED AS OF DATE: 20190708 DATE AS OF CHANGE: 20190708 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stahl Wilhelm CENTRAL INDEX KEY: 0001591468 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38558 FILM NUMBER: 19946208 MAIL ADDRESS: STREET 1: C/O RELYPSA, INC. STREET 2: 700 SAGINAW DR. CITY: REDWOOD CITY STATE: CA ZIP: 94063 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/A 1 wf-form4a_156263228769488.xml FORM 4/A X0306 4/A 2019-07-03 2019-07-05 0 0001595585 Tricida, Inc. TCDA 0001591468 Stahl Wilhelm 7000 SHORELINE COURT, SUITE 201 SOUTH SAN FRANCISCO CA 94080 0 1 0 0 Chief Tech Officer & Sr. VP Common Stock 2019-07-03 4 M 0 3300 0.72 A 18106 D Common Stock 2019-07-03 4 S 0 3300 36.91 D 14806 D Employee Stock Option (right to buy) 0.72 2019-07-03 4 M 0 3300 0 D 2024-12-03 Common Stock 3300.0 10800 D This amendment to Form 4 is being filed to correct the number of shares acquired upon exercise of employee stock options and subsequently sold on July 3, 2019. This amount includes 674 shares acquired on December 31, 2018 and 974 shares acquired on June 28, 2019 under the Tricida, Inc. 2018 Employee Stock Purchase Plan. These acquisitions are exempt from Section 16(b) pursuant to Rule 16b-3(c) and exempt from Section 16(a) pursuant to Rule 16a-3(f)(1)(i)(B). The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 29, 2018. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.89 to $38.57, 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 (3) to this Form 4. This option vested 25% on September 29, 2015, 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. Exhibit 24 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24 to the Form 3 filed by the reporting person on June 27, 2018). /s/ Edward J. Hejlek, attorney-in-fact 2019-07-08