TRICIDA, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 46 rows, 46 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-07-02: Reporting owner Sibling Capital Ventures III LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-A L.P. | Sibling Co-Investment LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures II LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-D L.P. | Isern Brian M.; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-07-02: Reporting owner Sibling Capital Ventures III LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-A L.P. | Sibling Co-Investment LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures II LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-D L.P. | Isern Brian M.; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-07-02: Reporting owner Sibling Capital Ventures III LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-A L.P. | Sibling Co-Investment LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures II LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-D L.P. | Isern Brian M.; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-07-02: Reporting owner Sibling Capital Ventures III LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-A L.P. | Sibling Co-Investment LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures II LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-D L.P. | Isern Brian M.; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-07-02 | Sibling Capital Ventures III LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-A L.P. | Sibling Co-Investment LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures II LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-D L.P. | Isern Brian M. | | | | | | | | | | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Sibling Co-Investment LLC | C Conversion of derivative security | −676,349 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Sibling Capital Ventures III LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-A L.P. | Sibling Co-Investment LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures II LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-D L.P. | Isern Brian M. | | | | | | | | | | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-A L.P. | C Conversion of derivative security | −3,555,304 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Sibling Capital Ventures III LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-A L.P. | Sibling Co-Investment LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures II LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-D L.P. | Isern Brian M. | | | | | | | | | | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-B L.P. | C Conversion of derivative security | −12,495,612 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Sibling Capital Ventures III LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-A L.P. | Sibling Co-Investment LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures II LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-D L.P. | Isern Brian M. | | | | | | | | | | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-C L.P. | C Conversion of derivative security | −7,204,578 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Sibling Capital Ventures III LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-A L.P. | Sibling Co-Investment LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures II LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-D L.P. | Isern Brian M. | | | | | | | | | | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-D L.P. | C Conversion of derivative security | −2,385,532 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Longitude Venture Partners II, L.P. | ENRIGHT PATRICK G | Longitude Capital Partners II, LLC | Tammenoms Bakker Juliet 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Longitude Venture Partners II, L.P. | C Conversion of derivative security | −9,677,419 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Longitude Venture Partners II, L.P. | ENRIGHT PATRICK G | Longitude Capital Partners II, LLC | Tammenoms Bakker Juliet 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Longitude Venture Partners II, L.P. | C Conversion of derivative security | −1,817,447 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Hirsch David Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −9,677,419 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Hirsch David Director | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,817,447 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | OrbiMed Capital GP V LLC | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | C Conversion of derivative security | −6,207,674 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | OrbiMed Capital GP V LLC | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | C Conversion of derivative security | −17,117,085 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | OrbiMed Capital GP V LLC | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | C Conversion of derivative security | −14,292,958 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | OrbiMed Capital GP V LLC | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | C Conversion of derivative security | −4,255,319 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Bonita David P Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −6,207,674 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Bonita David P Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −17,117,085 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Bonita David P Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −14,292,958 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Bonita David P Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −4,255,319 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | COUFAL SANDRA I Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −676,349 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | COUFAL SANDRA I Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −3,555,304 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | COUFAL SANDRA I Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −12,495,612 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | COUFAL SANDRA I Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −7,204,578 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | COUFAL SANDRA I Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −2,385,532 0 owned after | no price filed | 2018-07-02 | |
| 2018-07-02 | Hadley Harbor Master Investors (Cayman) II L.P. 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,138,351 0 owned after | $0.00 | 2018-07-02 | |
| 2018-06-27 holding as of filing | Sibling Capital Ventures II LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures III LLC | Sibling Capital Fund II-A L.P. | Isern Brian M. | Sibling Co-Investment LLC | Sibling Capital Fund II-D L.P. | | | | | | | | | | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Sibling Co-Investment LLC | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Sibling Capital Ventures II LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures III LLC | Sibling Capital Fund II-A L.P. | Isern Brian M. | Sibling Co-Investment LLC | Sibling Capital Fund II-D L.P. | | | | | | | | | | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-A L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Sibling Capital Ventures II LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures III LLC | Sibling Capital Fund II-A L.P. | Isern Brian M. | Sibling Co-Investment LLC | Sibling Capital Fund II-D L.P. | | | | | | | | | | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-B L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Sibling Capital Ventures II LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures III LLC | Sibling Capital Fund II-A L.P. | Isern Brian M. | Sibling Co-Investment LLC | Sibling Capital Fund II-D L.P. | | | | | | | | | | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-C L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Sibling Capital Ventures II LLC | Sibling Capital Ventures LLC | Sibling Capital Fund II-B L.P. | Sibling Capital Ventures IV LLC | Sibling Capital Fund II-C L.P. | Sibling Capital Ventures III LLC | Sibling Capital Fund II-A L.P. | Isern Brian M. | Sibling Co-Investment LLC | Sibling Capital Fund II-D L.P. | | | | | | | | | | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-D L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Longitude Venture Partners II, L.P. | Longitude Capital Partners II, LLC | ENRIGHT PATRICK G | Tammenoms Bakker Juliet 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Longitude Venture Partners II, L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Longitude Venture Partners II, L.P. | Longitude Capital Partners II, LLC | ENRIGHT PATRICK G | Tammenoms Bakker Juliet 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By Longitude Venture Partners II, L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Hirsch David Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Longitude Venture Partners II, L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Hirsch David Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By Longitude Venture Partners II, L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | OrbiMed Capital GP V LLC | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | OrbiMed Capital GP V LLC | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | OrbiMed Capital GP V LLC | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | OrbiMed Capital GP V LLC | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Bonita David P Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Bonita David P Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Bonita David P Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Bonita David P Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By OrbiMed Private Investments V, LP | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | COUFAL SANDRA I Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Sibling Co-Investment LLC | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | COUFAL SANDRA I Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-A L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | COUFAL SANDRA I Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-B L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | COUFAL SANDRA I Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-C L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | COUFAL SANDRA I Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By Sibling Capital Fund II-D L.P. | Holding | no price filed | 2018-06-27 | ||
| 2018-06-27 holding as of filing | Hadley Harbor Master Investors (Cayman) II L.P. 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-27 |