SEC Form 4 · accession 0001209191-18-025269
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
Apr 16, 2018
Accepted (ET)
Apr 17, 2018 · 8:24 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 StockF2 | Apr 16, 2018 | M | 285,700 | $3.50 | A | 1,522,194 | I | See Footnote |
| Common StockF2 | Apr 16, 2018 | F | 132,444 | $7.55 | D | 1,389,750 | 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 B WarrantsF2 | $3.50 | Apr 16, 2018 | M | 285,700 | D | Oct 17, 2017 | Apr 17, 2018 | Common Stock | 285,700 | 0 | I |
Explanation of responses
- F1The transaction reflects the cashless exercise of Series B warrants to purchase common stock, at a strike price of $3.50 and a closing market price on the date of exercise of $7.55. The exercise of the Series B warrants is exempt pursuant to Rule 166-3.
- F2The securities are held by the Kim Blickenstaff Revocable Trust dated April 15, 2010.