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