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