SEC Form 4 · accession 0001595585-19-000009
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
Jan 7, 2019
Accepted (ET)
Jan 8, 2019 · 4:34 pm EST
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 StockF2,F3 | Jan 7, 2019 | S | 665 | $23.27 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.
- F2This amount includes 665 shares acquired on December 31, 2018 under the Tricida, Inc. 2018 Employee Stock Purchase Plan. This acquisition is exempt from Section 16(b) pursuant to Rule 16b-3(c) and exempt from Section 16(a) pursuant to Rule 16a-3(f)(1)(i)(B).
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.22 to $23.425, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.
Remarks
Exhibit 24 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24 to the Form 3 filed by the reporting person on August 8, 2018)