0001595585-21-000132.txt : 20211117
0001595585-21-000132.hdr.sgml : 20211117
20211117162921
ACCESSION NUMBER: 0001595585-21-000132
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211115
FILED AS OF DATE: 20211117
DATE AS OF CHANGE: 20211117
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Parker Geoffrey M.
CENTRAL INDEX KEY: 0001491874
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38558
FILM NUMBER: 211420920
MAIL ADDRESS:
STREET 1: 15 RIORDAN PLACE
CITY: MENLO PARK
STATE: CA
ZIP: 94025
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
wf-form4_163718453716271.xml
FORM 4
X0306
4
2021-11-15
0
0001595585
Tricida, Inc.
TCDA
0001491874
Parker Geoffrey M.
7000 SHORELINE COURT, SUITE 201
SOUTH SAN FRANCISCO
CA
94080
0
1
0
0
COO, CFO and EVP
Common Stock
2021-11-15
4
A
0
166667
6
A
261667
I
By Geoffrey M. Parker and Jill Gofen Parker Rev. Trust dated 1/27/00
Common Stock
63337
D
Common Stock
40000
I
By Equity Trust Company, Trustee of the Geoffrey M. Parker Roth IRA
Common Stock
55000
I
By Equity Trust Company, Trustee of the Geoffrey M. Parker Rollover IRA
Common Warrants
11.0
2021-11-15
4
A
0
166667
A
Common Stock
166667.0
166667
I
By Geoffrey M. Parker and Jill Gofen Parker Rev. Trust dated 1/27/00
These shares of common stock and these common warrants were acquired directly from Tricida, Inc. (the "Issuer") in a registered direct offering. For each share purchased in the registered direct offering, at a price of $6.00 per share of common stock, the purchaser received one warrant.
Shares held by the Geoffrey M. Parker and Jill Gofen Parker Rev. Trust dated 1/27/00.
This amount includes 2,500 shares acquired on June 30,2021 under the Tricida, Inc. 2018 Employee Stock Purchase Plan. These acquisitions are exempt from Section 16(b) pursuant to Rule 16b-3(c) and exempt from Section 16(a) pursuant to Rule 16a-3(f)(1)(i)(B).
Shares held by Equity Trust Company, Trustee of the Geoffrey M. Parker Roth IRA.
Shares held by Equity Trust Company, Trustee of the Geoffrey M. Parker Rollover IRA.
The common warrants may be exercised for shares of common stock at any time on or after the date that is six months after the date of their issuance.
The expiration date is the earliest of: (a) the third anniversary of the date of their issuance, (b) immediately prior to the closing of a fundamental transaction or (c) the occurrence of certain other events. A "fundamental transaction" includes a consolidation or merger, the sale, transfer or other disposition of all or substantially all of the Issuer's properties or assets, the acquisition of more than 50% of the Issuer's outstanding common stock, any reorganization, recapitalization or reclassification of the Issuer's common stock or any person or group becoming the beneficial owner of 50% of the voting power represented by the Issuer's outstanding common stock.
/s/ Robert McKague, attorney-in-fact
2021-11-17