SEC Form 4 · accession 0001595585-18-000012
Tricida, Inc. · TCDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dawn Parsell Otto
Officer — Sr VP, Clinical Development
Period of report
Sep 27, 2018
Accepted (ET)
Sep 28, 2018 · 5:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001595585
Table I — non-derivative securities
No Table I lines on this filing.
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 | $31.85 | Sep 27, 2018 | A | 125,000 | A | — | Aug 1, 2028 | Common Stock | 125,000 | 250,625 | D |
Explanation of responses
- F1This option vests 25% on August 1, 2019, 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.