SEC Form 3 · accession 0001140361-18-030214
Tricida, Inc. · TCDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry M. Buysse
Officer — Chief Scientific Offr & Sr VP
Period of report
Jun 27, 2018
Accepted (ET)
Jun 27, 2018 · 7:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001595585
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 238,693 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $0.80 | holding | — | — | — | — | Mar 8, 2025 | Common Stock | 37,688 | — | D |
| Employee Stock Option (right to buy)F2 | $0.96 | holding | — | — | — | — | Feb 23, 2026 | Common Stock | 20,100 | — | D |
Explanation of responses
- F1This option vested 25% on March 1, 2016, and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject to reporting person's continuous service as of each vesting date. The option contains an early-exercise provision and is exercisable as to unvested shares, subject to the issuer's right of repurchase.
- F2This option vested 25% on January 1, 2017, and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject to reporting person's continuous service as of each vesting date. The option contains an early-exercise provision and is exercisable as to unvested shares, subject to the issuer's right of repurchase.
Remarks
Exhibit 24 - Power of Attorney