SEC Form 4 · accession 0001209191-15-078185
TANDEM DIABETES CARE INC · TNDM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F Sheridan
Officer — EVP & CHIEF OPERATING OFFICER
Period of report
Nov 2, 2015
Accepted (ET)
Nov 3, 2015 · 6:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001438133
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 2, 2015 | M | 4,000 | $1.1059 | A | 8,084 | D | |
| Common StockF1 | Nov 2, 2015 | S | 4,000 | $10.00 | D | 4,084 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $1.1059 | Nov 2, 2015 | M | 4,000 | D | Feb 25, 2014 | Apr 23, 2023 | Common Stock | 4,000 | 114,040 | D |
Explanation of responses
- F1The shares were sold, pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 3, 2015, at a price of $10.00. The reporting person undertakes to provide the SEC, the issuer, and any security holder full information regarding the number of shares and the prices at which the shares were sold.
- F2The option became 25% exercisable on 2/25/2014 and in 36 equal monthly installments thereafter.