SEC Form 4/A · accession 0001209191-18-062532
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
David B Berger
Officer — EVP, GEN. COUNSEL & SECRETARY
Period of report
Dec 6, 2018
Accepted (ET)
Dec 13, 2018 · 7:30 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 | Dec 6, 2018 | M | 10,000 | $2.59 | A | 11,765 | D | |
| Common StockF2 | Dec 6, 2018 | S | 10,000 | $34.496 | D | 1,765 | D | |
| Common StockF3,F4 | Dec 6, 2018 | S | 1,493 | $34.85 | D | 200 | I | Berger Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF6 | $2.59 | Dec 6, 2018 | M | 10,000 | D | — | Dec 1, 2027 | Common Stock | 10,000 | 70,000 | D |
Explanation of responses
- F1Represents shares of common stock received upon exercise of a stock option award.
- F2The price reported is the weighted average price. The shares were sold, pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 6, 2018, in multiple transactions at prices ranging from $33.80 to $34.965. The Reporting Person undertakes to provide the Securities and Exchange Commission (the "SEC"), the issuer, and any security holder full information regarding the number of shares and the prices at which the shares were sold.
- F3The price reported is the weighted average price. The shares were sold, pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 6, 2018, in multiple transactions at prices ranging from $34.8225 to $34.89. The Reporting Person undertakes to provide the Securities and Exchange Commission (the "SEC"), the issuer, and any security holder full information regarding the number of shares and the prices at which the shares were sold.
- F4Shares are beneficially owned by the Berger Family Trust dated April 16, 2008, for which the Reporting Person is a trustee.
- F5This amendment is being filed to reflect the exercise of the stock option award in Table II.
- F6Fifty percent (50%) of the underlying shares subject to the option vested on 12/1/2018, and the remaining shares shall vest in twelve (12) equal monthly installments thereafter.