0001438133-21-000216.txt : 20211201 0001438133-21-000216.hdr.sgml : 20211201 20211201193112 ACCESSION NUMBER: 0001438133-21-000216 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211129 FILED AS OF DATE: 20211201 DATE AS OF CHANGE: 20211201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERGER DAVID B CENTRAL INDEX KEY: 0001422126 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36189 FILM NUMBER: 211464444 MAIL ADDRESS: STREET 1: 11045 ROSELLE STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TANDEM DIABETES CARE INC CENTRAL INDEX KEY: 0001438133 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 204327508 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11075 ROSELLE STREET CITY: San Diego STATE: CA ZIP: 92121 BUSINESS PHONE: 858-366-6900 MAIL ADDRESS: STREET 1: 11075 ROSELLE STREET CITY: San Diego STATE: CA ZIP: 92121 4 1 wf-form4_163840505486194.xml FORM 4 X0306 4 2021-11-29 0 0001438133 TANDEM DIABETES CARE INC TNDM 0001422126 BERGER DAVID B C/O TANDEM DIABETES CARE, INC. 11075 ROSELLE STREET SAN DIEGO CA 92121 0 1 0 0 EVP, Bus Ops & Compliance Common Stock 2021-11-29 4 M 0 406 0 A 4653 D Common Stock 2021-11-29 4 F 0 202 129.66 D 4451 D Common Stock 2021-12-01 4 M 0 1000 18.86 A 5451 D Common Stock 2021-12-01 4 S 0 900 128.31 D 4551 D Common Stock 2021-12-01 4 S 0 100 129.61 D 4451 D Common Stock 242 I Berger Family Trust Restricted Stock Unit 2021-11-29 4 M 0 406 0 A Common Stock 406.0 4065 D Stock Option 18.86 2021-12-01 4 M 0 1000 18.86 A Common Stock 1000.0 63000 D Shares withheld by Tandem Diabetes Care, Inc. (the Company) to satisfy tax withholding requirements on vesting of restricted stock units (RSU). No shares were sold. Represents shares of common stock received upon exercise of a stock option award. The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2021. The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $127.97 to $128.75. The Reporting Person undertakes to provide the Securities and Exchange Commission (the "SEC"), the issuer, and any security holder full information regarding the number of shares and the prices at which the shares were sold. The securities are held by the Berger Family Trust dated April 16, 2008. Granted pursuant to the Tandem Diabetes Care, Inc. 2013 Stock Incentive Plan (the 2013 Plan). Each RSU represents a contingent right to receive one share of common stock of the Company. RSU vest as to twenty-five percent (25%) of the total number of shares subject to the RSU on 5/27/2021, and the remaining shares shall vest in twelve (12) equal quarterly installments thereafter. The options vested as to fifty (50%) of the underlying shares on 6/14/2019, and the remaining shares vested in twelve (12) equal monthly installments thereafter, subject to the terms of the 2013 Plan. The expiration date for these options is 10 years from the date of grant. s/David B. Berger 2021-12-01