0001595585-19-000192.txt : 20190830 0001595585-19-000192.hdr.sgml : 20190830 20190830170913 ACCESSION NUMBER: 0001595585-19-000192 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190828 FILED AS OF DATE: 20190830 DATE AS OF CHANGE: 20190830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Otto Dawn Parsell CENTRAL INDEX KEY: 0001748808 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38558 FILM NUMBER: 191070198 MAIL ADDRESS: STREET 1: 7000 SHORELINE COURT, SUITE 201 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER NAME: FORMER CONFORMED NAME: Parsell Otto Dawn DATE OF NAME CHANGE: 20180801 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_156719933620754.xml FORM 4 X0306 4 2019-08-28 0 0001595585 Tricida, Inc. TCDA 0001748808 Otto Dawn Parsell 7000 SHORELINE COURT, SUITE 201 SOUTH SAN FRANCISCO CA 94080 0 1 0 0 Sr VP, Clinical Development Common Stock 2019-08-28 4 M 0 1500 1.68 A 1500 D Common Stock 2019-08-28 4 S 0 1500 33.67 D 0 D Common Stock 2019-08-28 4 M 0 3500 1.68 A 3500 D Common Stock 2019-08-28 4 S 0 3500 33.70 D 0 D Employee Stock Option (right to buy) 1.68 2019-08-28 4 M 0 1500 0 D 2026-11-02 Common Stock 1500.0 27751 D Employee Stock Option (right to buy) 1.68 2019-08-28 4 M 0 3500 0 D 2026-11-02 Common Stock 3500.0 24251 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 $33.14 to $34.25, 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) 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 $33.29 to $34.08, inclusive. This option vested 25% on October 1, 2017, 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. /s/ Edward J. Hejlek, attorney-in-fact 2019-08-30