TRICIDA, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows, 3 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-11-15: Reporting owner Parker Geoffrey M.; Form 4; Security Common Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-11-15: Reporting owner Bonita David P; Form 4; Security Common Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-11-15: Reporting owner OrbiMed Capital GP V LLC | ORBIMED ADVISORS LLC; Form 4; Security Comm on Warrants to Purchase Common Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-11-15 | Parker Geoffrey M. Officer (COO, CFO and EVP) | 4 | Common Warrants Derivative · Indirect · By Geoffrey M. Parker and Jill Gofen Parker Rev. Trust dated 1/27/00 | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +166,667 166,667 owned after | $11.00 exercise price | 2021-11-17 | |
| 2021-11-15 | Bonita David P Director, 10% Owner | 4 | Common Warrants Derivative · Indirect · By OrbiMed Private Investments V, LP | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +666,667 666,667 owned after | $11.00 exercise price | 2021-11-17 | |
| 2021-11-15 | OrbiMed Capital GP V LLC | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | 4 | Comm on Warrants to Purchase Common Stock Derivative · Indirect · See footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +666,667 666,667 owned after | $11.00 exercise price | 2021-11-17 |