Statement of Changes in Beneficial Ownership (4)
March 07 2018 - 4:07PM
Edgar (US Regulatory)
FORM 4
[ ]
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Allen Dick
|
2. Issuer Name
and
Ticker or Trading Symbol
TANDEM DIABETES CARE INC
[
TNDM
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O TANDEM DIABETES CARE, INC.,, 11045 ROSELLE STREET
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/6/2018
|
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
3/6/2018
|
|
P
|
|
2418
|
A
|
$3.96
(1)
|
2500
|
I
|
See Footnote
(2)
|
Common Stock
|
3/6/2018
|
|
P
|
|
2418
|
A
|
$3.96
(1)
|
2500
|
I
|
See Footnote
(3)
|
Common Stock
|
3/6/2018
|
|
P
|
|
6300
|
A
|
$3.89
(4)
|
6300
|
I
|
See Footnote
(5)
|
Common Stock
|
3/6/2018
|
|
P
|
|
6300
|
A
|
$3.88
(6)
|
6300
|
D
(7)
|
|
Common Stock
|
3/6/2018
|
|
P
|
|
8103
|
A
|
$3.84
(8)
|
22001
|
I
|
See Footnote
(9)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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
|
Explanation of Responses:
|
(1)
|
The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $3.95 and $3.96.
|
(2)
|
The securities are held by the Gammon Children's 2000 Trust FBP 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 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 Jake Allen Gammon.
|
(3)
|
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.
|
(4)
|
The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $3.89 and $3.90.
|
(5)
|
The securities are held in the Mary Allen Roth IRA. The Reporting Person is married to Mary Allen, and the Reporting Person may be deemed to have indirect beneficial ownership of such securities held in the Mary Allen Roth IRA. The Reporting Person disclaims beneficial ownership of such securities held in the Mary Allen Roth IRA.
|
(6)
|
The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $3.88 and $3.90.
|
(7)
|
The securities are held in the Dick Allen Roth IRA.
|
(8)
|
The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $3.83 and $3.85.
|
(9)
|
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.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Allen Dick
C/O TANDEM DIABETES CARE, INC.,
11045 ROSELLE STREET
SAN DIEGO, CA 92121
|
X
|
|
|
|
Signatures
|
David B. Berger, Attorney-in-Fact for Dick P. Allen
|
|
3/7/2018
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Tandem Diabetes Care (NASDAQ:TNDM)
Historical Stock Chart
From Aug 2024 to Sep 2024
Tandem Diabetes Care (NASDAQ:TNDM)
Historical Stock Chart
From Sep 2023 to Sep 2024