SEC Form 4 · accession 0001209191-19-018408
TANDEM DIABETES CARE INC · TNDM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dick Allen
Director
Period of report
Mar 8, 2019
Accepted (ET)
Mar 11, 2019 · 4:13 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 | Mar 8, 2019 | S | 6,100 | $62.71 | D | 200 | D | |
| Common StockF3,F2 | Mar 8, 2019 | S | 200 | $63.22 | D | 0 | D | |
| Common StockF4 | Mar 8, 2019 | S | 6,300 | $62.29 | D | 0 | I | See Footnote |
| Common StockF5 | Mar 8, 2019 | S | 418 | $62.53 | D | 2,000 | I | See Footnote |
| Common StockF6 | Mar 8, 2019 | S | 418 | $62.53 | D | 2,000 | I | See Footnote |
| Common StockF7,F8 | Mar 8, 2019 | S | 3,803 | $62.79 | D | 14,300 | I | See Footnote |
| Common StockF9,F8 | Mar 8, 2019 | S | 300 | $63.21 | D | 14,000 | I | See Footnote |
| Common StockF10 | holding | — | — | — | 52,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $62.19 and $63.18.
- F10The securities are held by the Allen Family Trust dated October 12, 1981.
- F2The securities are held in the Dick Allen Roth IRA.
- F3The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $63.19 and $63.245.
- F4The securities are held in the Mary Allen Roth IRA. The Reporting Person is married to Mary Allen, and the Reporting Person may be deemed to have indirect beneficial ownership of such securities held in the Mary Allen Roth IRA. The Reporting Person disclaims beneficial ownership of such securities held in the Mary Allen Roth IRA.
- F5The securities are held by the Gammon Children's 2000 Trust FBO Hannah Lee Gammon. The Reporting Person is co-trustee of the Gammon Children's 2000 Trust FBO Hannah Lee Gammon and has shared voting and investment power over the securities held by the Gammon Children's 2000 Trust FBO Hannah Lee Gammon and may be deemed to have indirect beneficial ownership of such securities. The Reporting Person disclaims beneficial ownership of such securities held by the Gammon Children's 2000 Trust FBO Hannah Lee Gammon.
- F6The securities are held by the Gammon Children's 2000 Trust FBO Jake Allen Gammon. The Reporting Person is co-trustee of the Gammon Children's 2000 Trust FBO Jake Allen Gammon and has shared voting and investment power over the securities held by the Gammon Children's 2000 Trust FBO Jake Allen Gammon and may be deemed to have indirect beneficial ownership of such securities. The Reporting Person disclaims beneficial ownership of such securities held by the Gammon Children's 2000 Trust FBO Jake Allen Gammon.
- F7The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $62.1734 and $63.16.
- F8The securities are held by Allen Cornerstone Ventures L.P. The Reporting Person is the managing partner of Allen Cornerstone Ventures L.P. and may be deemed to have indirect beneficial ownership of such securities. The Reporting Person disclaims beneficial ownership of such securities held by Allen Cornerstone Ventures L.P., except to the extent of his proportionate pecuniary interest therein.
- F9The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $63.20 and $63.24.