0001438133-20-000019.txt : 20200228 0001438133-20-000019.hdr.sgml : 20200228 20200228180333 ACCESSION NUMBER: 0001438133-20-000019 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200226 FILED AS OF DATE: 20200228 DATE AS OF CHANGE: 20200228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Allen Dick CENTRAL INDEX KEY: 0001582779 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36189 FILM NUMBER: 20673038 MAIL ADDRESS: STREET 1: 11045 ROSELLE STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TANDEM DIABETES CARE INC CENTRAL INDEX KEY: 0001438133 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 204327508 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11075 ROSELLE STREET CITY: San Diego STATE: CA ZIP: 92121 BUSINESS PHONE: 858-366-6900 MAIL ADDRESS: STREET 1: 11075 ROSELLE STREET CITY: San Diego STATE: CA ZIP: 92121 4 1 wf-form4_158293099576654.xml FORM 4 X0306 4 2020-02-26 0 0001438133 TANDEM DIABETES CARE INC TNDM 0001582779 Allen Dick C/O TANDEM DIABETES CARE, INC., 11075 ROSELLE STREET SAN DIEGO CA 92121 1 0 0 0 Common Stock 2020-02-26 4 M 0 406 73.73 A 10406 I See Footnotes) Common Stock 2020-02-26 4 S 0 380 78.82 D 10026 I See Footnotes) Common Stock 2020-02-26 4 M 0 2778 73.73 A 39778 I See Footnote Common Stock 2020-02-26 4 S 0 2599 78.82 D 37179 I See Footnote Common Stock 1500 I See Footnotes Common Stock 1500 I See Footnote(s) Warrant 73.73 2020-02-26 4 M 0 406 73.73 D 2020-02-26 Common Stock 406.0 0 I See Footnote Warrant 73.73 2020-02-26 4 M 0 2778 73.73 D 2020-02-26 Common Stock 2778.0 0 I See Footnotes The transaction reflects the cashless exercise of warrants to purchase common stock, at an exercise price of $73.73. 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 Allen Cornerstone Ventures L.P. The Reporting Person is the managing partner of Allen Cornerstone Ventures L.P. and may be deemed to have indirect beneficial ownership of such securities. The Reporting Person disclaims beneficial ownership of such securities held by Allen Cornerstone Ventures L.P., except to the extent of his proportionate pecuniary interest therein. The securities are held by the Allen Family Trust dated October 12, 1981. The securities are held by the Gammon Children's 2000 Trust FBO Hannah Lee Gammon. The Reporting Person is co-trustee of the Gammon Children's 2000 Trust FBO Hannah Lee Gammon and has shared voting and investment power over the securities held by the Gammon Children's 2000 Trust FBO Hannah Lee Gammon and may be deemed to have indirect beneficial ownership of such securities. The Reporting Person disclaims beneficial ownership of such securities held by the Gammon Children's 2000 Trust FBO Hannah Lee Gammon. The securities are held by the Gammon Children's 2000 Trust FBO Jake Allen Gammon. The Reporting Person is co-trustee of the Gammon Children's 2000 Trust FBO Jake Allen Gammon and has shared voting and investment power over the securities held by the Gammon Children's 2000 Trust FBO Jake Allen Gammon and may be deemed to have indirect beneficial ownership of such securities. The Reporting Person disclaims beneficial ownership of such securities held by the Gammon Children's 2000 Trust FBO Jake Allen Gammon. The expiration dates for this warrant are August 31, 2021 (271 shares) and July 3, 2022 (135 shares). The expiration dates for this warrant are August 31, 2021 (1,356 shares), May 25, 2022 (596 shares) and July 17, 2022 (826 shares). David B. Berger, Attorney-in-Fact for Dick Allen 2020-02-28