Statement of Changes in Beneficial Ownership (4)
July 02 2020 - 6:35PM
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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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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Vosseller Leigh |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & CHIEF FINANCIAL OFFICER |
(Last)
(First)
(Middle)
C/O TANDEM DIABETES CARE, INC., 11075 ROSELLE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/30/2020 |
(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 | 6/30/2020 | | M(1) | | 10000 | A | $2.59 | 14520 | D | |
Common Stock | 6/30/2020 | | S(2) | | 10000 | D | $95.0394 (3) | 4520 | D | |
Common Stock | 7/2/2020 | | M(1) | | 8262 | A | $9 | 12782 | D | |
Common Stock | 7/2/2020 | | S(2) | | 8262 | D | $100.2896 (4) | 4520 | D | |
Common Stock | 7/2/2020 | | M(1) | | 1738 | A | $18.86 | 6258 | D | |
Common Stock | 7/2/2020 | | S(2) | | 1738 | D | $101.1292 (5) | 4520 | D | |
Common Stock | | | | | | | | 145 | I | Leigh A. Vosseller Trust (6) |
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 | $2.59 | 6/30/2020 | | M | | | 10000 | (7) | (8) | Common Stock | 10000.0 | $0 | 0 | D | |
Common Stock | $9.0 | 7/2/2020 | | M | | | 5160 | (9) | (8) | Common Stock | 5160.0 | $0 | 2340 | D | |
Common Stock | $18.86 | 7/2/2020 | | M | | | 4840 | (10) | (8) | Common Stock | 4840.0 | $0 | 95160 | D | |
Explanation of Responses: |
(1) | Represents shares of common stock received upon exercise of a stock option award. |
(2) | The shares were sold, pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 9, 2020. |
(3) | The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $95.00 to $95.41. 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 $100.00 to $100.95. 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 $101.00 to $101.21. 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 securities are held by the Leigh A. Vosseller Trust dated January 17, 2010, of which Leigh Vosseller is the Trustee. |
(7) | The option vested as to fifty percent (50%) of the underlying shares on 12/01/2018, and the remaining shares vested in twelve (12) equal monthly installments thereafter. |
(8) | The expiration date for these options is 10 years from the date of grant. |
(9) | The option vested as to twenty-five percent (25%) of the underlying shares on 05/17/2018, and the remaining shares shall vest in thiry-six (36) equal monthly installments thereafter. |
(10) | The option vested as to fifty percent (50%) of the underlying shares on 06/14/2019, and the remaining shares vested in twelve (12) equal monthly installments thereafter. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Vosseller Leigh C/O TANDEM DIABETES CARE, INC. 11075 ROSELLE STREET SAN DIEGO, CA 92121 |
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| EVP & CHIEF FINANCIAL OFFICER |
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Signatures
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s/ David B. Berger, Attorney-in-Fact for Leigh A. Vosseller | | 7/2/2020 |
**Signature of Reporting Person | Date |
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