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