SEC Form 4 · accession 0001744981-19-000001
Tricida, Inc. · TCDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Brian M. Isern
10% Owner · Other
Period of report
Feb 5, 2019
Accepted (ET)
Feb 7, 2019 · 6:19 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,F8 | Feb 5, 2019 | J | 245,312 | $0.00 | D | 0 | I | By Sibling Co-Investment LLC |
| Common StockF3,F8 | holding | — | — | — | 893,292 | I | By Sibling Capital Fund II-A L.P. | |
| Common StockF4,F8 | holding | — | — | — | 3,139,600 | I | By Sibling Capital Fund II-B L.P. | |
| Common StockF5,F8 | holding | — | — | — | 1,810,195 | I | By Sibling Capital Fund II-C L.P. | |
| Common StockF6,F8 | holding | — | — | — | 599,379 | I | By Sibling Capital Fund II-D L.P. | |
| Common StockF7,F8 | holding | — | — | — | 463,158 | I | By Sibling Insiders Fund II L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sibling Co-Investment LLC disposed of 245,312 shares of Common Stock of the Issuer through a pro rata distribution to its members.
- F2Sibling Capital Ventures LLC is the sole manager of Sibling Co-Investment LLC. As co-manager of Sibling Capital Ventures LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of shares held by Sibling Co-Investment LLC.
- F3Sibling Capital Fund II-A L.P. is a direct beneficial owner of 893,292 shares of Common Stock of the Issuer. Sibling Capital Ventures LLC is the sole general partner of Sibling Capital Fund II-A L.P. As co-manager of Sibling Capital Ventures LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- F4Sibling Capital Fund II-B L.P. is a direct beneficial owner of 3,139,600 shares of Common Stock of the Issuer. Sibling Capital Ventures II LLC is the sole general partner of Sibling Capital Fund II-B L.P. As co-manager of Sibling Capital Ventures II LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- F5Sibling Capital Fund II-C L.P. is a direct beneficial owner of 1,810,195 shares of Common Stock of the Issuer. Sibling Capital Ventures III LLC is the sole general partner of Sibling Capital Fund II-C L.P. As co-manager of Sibling Capital Ventures III LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- F6Sibling Capital Fund II-D L.P. is a direct beneficial owner of 599,379 shares of Common Stock of the Issuer. Sibling Capital Ventures IV LLC is the sole general partner of Sibling Capital Fund II-D L.P. As co-manager of Sibling Capital Ventures IV LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- F7Sibling Insiders Fund II L.P. is a direct beneficial owner of 463,158 shares of Common Stock of the Issuer. Sibling Insiders II LLC is the sole general partner of Sibling Insiders Fund II L.P. As co-manager of Sibling Insiders II LLC, Brian M. Isern may be deemed to be an indirect beneficial owner of such shares.
- F8For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.