SEC Form 4 · accession 0001209191-17-057210
TANDEM DIABETES CARE INC · TNDM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kim D Blickenstaff
Officer — PRESIDENT & CEO · Director
Period of report
Oct 13, 2017
Accepted (ET)
Oct 17, 2017 · 6:54 pm EDT
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,F3 | Oct 13, 2017 | P | 285,700 | $3.50 | A | 486,494 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Warrants to Purchase Common StockF3 | $3.50 | Oct 13, 2017 | P | 285,700 | A | Oct 17, 2017 | Oct 17, 2022 | Common Stock | 285,700 | 285,700 | I |
| Series B Warrants to Purchase Common StockF3 | $3.50 | Oct 13, 2017 | P | 285,700 | A | Oct 17, 2017 | Apr 17, 2018 | Common Stock | 285,700 | 285,700 | I |
Explanation of responses
- F1The reporting person has committed to purchase shares in connection with the Company's underwritten registered public offering of common stock.
- F2The amount of securities beneficially owned following the reported transactions reflects the 10 for 1 reverse stock split of the Issuer's issued and outstanding common stock which was effective on October 9, 2017.
- F3The securities are held by the Kim Blickenstaff Revocable Trust dated April 15, 2010