SEC Form 4/A · accession 0001209191-16-107451
TANDEM DIABETES CARE INC · TNDM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
John F Sheridan
Officer — EVP, CHIEF OPERATING OFFICER
Period of report
Jan 4, 2016
Accepted (ET)
Mar 9, 2016 · 6:39 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 StockF1,F2 | Jan 4, 2016 | M | 2,000 | $1.1059 | A | 7,295 | D | |
| Common StockF3 | Jan 4, 2016 | S | 2,000 | $11.4721 | D | 5,295 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF4 | $1.1059 | Jan 4, 2016 | M | 2,000 | D | Feb 25, 2013 | Apr 23, 2023 | Common Stock | 2,000 | 110,040 | D |
Explanation of responses
- F1Includes 1,211 shares acquired under the Tandem Diabetes Care, Inc. 2013 Employee Stock Purchase Plan ("ESPP") on November 13, 2015.
- F2This amendment is being filed to correct the amount of securities beneficially owned.
- F3The shares were sold, pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 3, 2015, at a price of $11.4721. 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.
- F4The option became 25% exercisable on 2/25/2014 and in 36 equal monthly installments thereafter.