0001438133-23-000080.txt : 20230517 0001438133-23-000080.hdr.sgml : 20230517 20230517180839 ACCESSION NUMBER: 0001438133-23-000080 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230515 FILED AS OF DATE: 20230517 DATE AS OF CHANGE: 20230517 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Leal James CENTRAL INDEX KEY: 0001866570 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36189 FILM NUMBER: 23933179 MAIL ADDRESS: STREET 1: C/O TANDEM DIABETES CARE, INC. STREET 2: 11075 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: 12400 HIGH BLUFF DRIVE CITY: San Diego STATE: CA ZIP: 92130 BUSINESS PHONE: 858-366-6900 MAIL ADDRESS: STREET 1: 12400 HIGH BLUFF DRIVE CITY: San Diego STATE: CA ZIP: 92130 4 1 wf-form4_168436130062849.xml FORM 4 X0407 4 2023-05-15 0 0001438133 TANDEM DIABETES CARE INC TNDM 0001866570 Leal James 12400 HIGH BLUFF DRIVE SAN DIEGO CA 92130 0 1 0 0 Chief Manufacturing Officer 0 Common Stock 2023-05-15 4 A 0 621 27.32 A 6427 D Common Stock 2023-05-15 4 M 0 168 0 A 6595 D Common Stock 2023-05-15 4 F 0 70 32.13 D 6525 D Common Stock 2023-05-15 4 M 0 3223 0 A 9748 D Common Stock 2023-05-15 4 F 0 1333 32.13 D 8415 D Restricted Stock Unit 2023-05-15 4 M 0 168 0 D Common Stock 168.0 1340 D Restricted Stock Unit 2023-05-15 4 M 0 3223 0 D Common Stock 3223.0 6446 D Restricted Stock Unit 2023-05-15 4 A 0 6898 0 A Common Stock 6898.0 13796 D The reporting person is voluntarily reporting the acquisition of shares of common stock pursuant to the Tandem Diabetes Care, Inc. Amended and Restated 2013 Employee Stock Purchase Plan (ESPP), for the ESPP purchase period of November 16, 2022 through May 15, 2023. This transaction is also exempt under Rule 16b-3(c). 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. Each restricted stock unit (RSU) represents a contingent right to receive either one share of common stock of the Issuer or cash in lieu thereof, at the Issuer's discretion, in accordance with the terms of the Tandem Diabetes Care, Inc. 2013 Stock Incentive Plan (the 2013 Plan). RSU granted on 5/18/2021 vest as to twenty-five percent (25%) of the total number of shares subject to the RSU on the 15th day of the month that corresponds to the anniversary of the grant date, and the remaining shares shall vest in twelve (12) equal quarterly installments thereafter, subject to the terms of the 2013 Plan. RSU granted on 5/25/2022 vest as to thirty-three percent (33%) of the total number of shares subject to the RSU on the 15th day of the month that corresponds to the anniversary of the grant date, and the remaining shares shall vest in eight (8) equal quarterly installments thereafter, subject to the terms of the 2013 Plan. RSU vest as to thirty-three percent (33%) of the total number of shares subject to the RSU on the 15th day of the month that corresponds to the anniversary of the grant date, and the remaining shares shall vest in eight (8) equal quarterly installments thereafter, subject to the terms of the 2013 Plan. /s/ Rachel Malina, Attorney-in-Fact for James A. Leal 2023-05-17