0001140361-18-031055.txt : 20180702
0001140361-18-031055.hdr.sgml : 20180702
20180702210259
ACCESSION NUMBER: 0001140361-18-031055
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180702
FILED AS OF DATE: 20180702
DATE AS OF CHANGE: 20180702
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FALBERG KATHRYN E
CENTRAL INDEX KEY: 0001206977
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38558
FILM NUMBER: 18934546
MAIL ADDRESS:
STREET 1: C/O AXOVANT SCIENCES, INC.
STREET 2: 320 WEST 37TH STREET, 5TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Tricida, Inc.
CENTRAL INDEX KEY: 0001595585
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 463372526
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 7000 SHORELINE COURT, SUITE 201
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: 415-429-7800
MAIL ADDRESS:
STREET 1: 7000 SHORELINE COURT, SUITE 201
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
4
1
form4.xml
FORM 4
X0306
4
2018-07-02
0001595585
Tricida, Inc.
TCDA
0001206977
FALBERG KATHRYN E
7000 SHORELINE COURT
SUITE 201
SOUTH SAN FRANCISCO
CA
94080
true
Common Stock
2018-07-02
4
P
0
31579
19
A
31579
D
Common Stock
2018-07-02
4
A
0
3632
0
A
35211
D
Stock Option (right to buy)
19
2018-07-02
4
A
0
13147
0
A
2028-06-27
Common Stock
13147
13147
D
Represents restricted stock units ("RSUs") that, subject to the Issuer's initial public offering ("IPO") closing on or before July 16, 2018, vest on the earlier of (i) the one-year anniversary of June 27, 2018 (the "Grant Date") and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date (the "Next Annual Meeting"), subject to the Reporting Person's continuous service as a non-employee director through such vesting date. Each RSU represents a contingent right to receive one share of Common Stock.
Subject to the Reporting Person's continuous service to the Issuer as a non-employee director through each vesting date, and subject to the Issuer's IPO closing on or before July 16, 2018, this option vests ratably on a monthly basis, on the monthly anniversary of June 27, 2018 ("Option Date"), over the one-year period following the Option Date so that the option shall be 100% vested and exercisable on the one-year anniversary of the Option Date ("Vesting Date"); provided, however, if the Next Annual Meeting occurs prior to the Vesting Date, then the option shall vest in full immediately prior to the Next Annual Meeting.
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 June 27, 2018)
/s/ Edward J. Hejlek, attorney-in-fact
2018-07-02