Statement of Changes in Beneficial Ownership (4)
November 12 2020 - 4:50PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Allen Dick |
2. Issuer Name and Ticker or Trading Symbol
TANDEM DIABETES CARE INC
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TNDM
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O TANDEM DIABETES CARE, INC.,, 11075 ROSELLE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/9/2020 |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/9/2020 | | M(1) | | 1700 | A | $101.30 | 31700 | I | See Footnote (2) |
Common Stock | 11/9/2020 | | M(1) | | 15000 | A | $33.12 | 46700 | I | See Footnote (2) |
Common Stock | 11/9/2020 | | M(1) | | 3732 | A | $64.66 | 50432 | I | See Footnote (2) |
Common Stock | 11/9/2020 | | S | | 5259 | D | $106.9772 (3) | 45173 | I | See Footnote (2) |
Common Stock | 11/9/2020 | | S | | 10695 | D | $107.6053 (4) | 34478 | I | See Footnote (2) |
Common Stock | 11/9/2020 | | S | | 4478 | D | $108.5293 (5) | 30000 | I | See Footnote (2) |
Common Stock | 11/9/2020 | | G(6) | | 2500 | D | $111.325 (7) | 27500 | I | See Footnote (2) |
Common Stock | 11/9/2020 | | G(8) | | 2500 | D | $111.325 (7) | 25000 | I | See Footnote (2) |
Common Stock | | | | | | | | 1000 | I | See Footnotes (9) |
Common Stock | | | | | | | | 1000 | I | See Footnote(s) (10) |
Common Stock | | | | | | | | 7526 | I | See Footnotes) (11) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | $64.66 | 11/9/2020 | | M | | | 3732 | (12) | (13) | Common Stock | 3732.0 | $0 | 0 | D | |
Stock Option | $33.12 | 11/9/2020 | | M | | | 15000 | (14) | (13) | Common Stock | 15000.0 | $0 | 10000 | D | |
Stock Option | $101.3 | 11/9/2020 | | M | | | 1700 | (15) | (13) | Common Stock | 1700.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Represents shares of common stock received upon exercise of a stock option award. |
(2) | The securities are held by the Allen Family Trust dated October 12, 1981. |
(3) | The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $106.12 to $107.11. The Reporting Person undertakes to provide the Securities and Exchange Commission (the "SEC"), the issuer, and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(4) | The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $107.13 to $108.05. The Reporting Person undertakes to provide the Securities and Exchange Commission (the "SEC"), the issuer, and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(5) | The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $108.20 to $109.00. The Reporting Person undertakes to provide the Securities and Exchange Commission (the "SEC"), the issuer, and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(6) | The shares were given as a bona fide gift to The Gammon Family Trust, 2000. |
(7) | The price per share reflects the average of the high and low trading prices of the Company's stock on the transaction date. |
(8) | The shares were given as a bona fide gift to Brett R. Allen and Portia N. Langworthy, JTTEN |
(9) | The securities are held by the Gammon Children's 2000 Trust FBO Hannah Lee Gammon. The Reporting Person is co-trustee of the Gammon Children's 2000 Trust FBO Hannah Lee Gammon and has shared voting and investment power over the securities held by the Gammon Children's 2000 Trust FBO Hannah Lee Gammon and may be deemed to have indirect beneficial ownership of such securities. The Reporting Person disclaims beneficial ownership of such securities held by the Gammon Children's 2000 Trust FBO Hannah Lee Gammon. |
(10) | The securities are held by the Gammon Children's 2000 Trust FBO Jake Allen Gammon. The Reporting Person is co-trustee of the Gammon Children's 2000 Trust FBO Jake Allen Gammon and has shared voting and investment power over the securities held by the Gammon Children's 2000 Trust FBO Jake Allen Gammon and may be deemed to have indirect beneficial ownership of such securities. The Reporting Person disclaims beneficial ownership of such securities held by the Gammon Children's 2000 Trust FBO Jake Allen Gammon. |
(11) | The securities are held by Allen Cornerstone Ventures L.P. The Reporting Person is the managing partner of Allen Cornerstone Ventures L.P. and may be deemed to have indirect beneficial ownership of such securities. The Reporting Person disclaims beneficial ownership of such securities held by Allen Cornerstone Ventures L.P., except to the extent of his proportionate pecuniary interest therein. |
(12) | Shares vested in twelve (12) equal monthly installments from June 18, 2019. |
(13) | The expiration date for these options is 10 years from the date of grant. |
(14) | Shares vested in twelve (12) equal monthly installments from November 15, 2018. |
(15) | Shares vested in twelve (12) equal monthly installments from November 16, 2015. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Allen Dick C/O TANDEM DIABETES CARE, INC., 11075 ROSELLE STREET SAN DIEGO, CA 92121 | X |
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Signatures
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s/ David B. Berger, Attorney-in-Fact for Dick P. Allen | | 11/12/2020 |
**Signature of Reporting Person | Date |
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