Initial Statement of Beneficial Ownership (3)
June 10 2021 - 4:56PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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Leal James |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/2/2021
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3. Issuer Name and Ticker or Trading Symbol
TANDEM DIABETES CARE INC [TNDM]
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(Last)
(First)
(Middle)
C/O TANDEM DIABETES CARE, INC., 11075 ROSELLE STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, Operations / |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 3596 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (1) | (2) | (3) | Common Stock | 835.0 | $251.34 | D | |
Stock Option (1) | (2) | (3) | Common Stock | 59.0 | $251.34 | D | |
Stock Option (4) | (5) | (3) | Common Stock | 1301.0 | $150.0 | D | |
Stock Option (4) | (5) | (3) | Common Stock | 8798.0 | $150.0 | D | |
Stock Option (4) | (6) | (3) | Common Stock | 800.0 | $119.2 | D | |
Stock Option (4) | (6) | (3) | Common Stock | 1459.0 | $119.2 | D | |
Stock Option (4) | (7) | (3) | Common Stock | 3390.0 | $69.5 | D | |
Stock Option (4) | (8) | (3) | Common Stock | 468.0 | $9.0 | D | |
Stock Option (4) | (9) | (3) | Common Stock | 40000.0 | $51.5 | D | |
Stock Option (4) | (10) | (3) | Common Stock | 11436.0 | $82.34 | D | |
Restricted Stock Unit (4) | (11) | (11) | Common Stock | 3716.0 | $0.0 | D | |
Stock Option (4) | (12) | (3) | Common Stock | 4095.0 | $81.63 | D | |
Restricted Stock Unit (4) | (13) | (13) | Common Stock | 2681.0 | $0.0 | D | |
Explanation of Responses: |
(1) | Granted pursuant to the Tandem Diabetes Care, Inc. 2006 Stock Incentive Plan. |
(2) | The date of grant of the option was 01/30/2012. All shares subject to the option have vested. |
(3) | The expiration date for these options is 10 years from the date of grant. |
(4) | Granted pursuant to the Tandem Diabetes Care, Inc. 2013 Stock Incentive Plan, as amended, and the agreements related thereto (the "2013 Plan"). |
(5) | The date of grant of the option was 11/13/2013. All shares subject to the option have vested. |
(6) | The date of grant of the option was 05/21/2015. All shares subject to the option have vested. |
(7) | The date of grant of the option was 02/16/2016. All shares subject to the option have vested. |
(8) | The date of grant of the option was 05/17/2017. All shares subject to the option have vested. |
(9) | The date of grant of the option was 02/15/2019. 25% of the shares subject to the option vested on 02/15/2020 and the remainder vests in 36 equal monthly installments thereafter. |
(10) | The date of grant of the option was 05/27/2020. 25% of the shares subject to the option vested on 05/27/2021 and the remainder vests in 36 equal monthly installments thereafter. |
(11) | The date of Restricted Stock Unit ("RSU") grant was 05/27/2020. RSU vested as to twenty-five percent (25%) of the total number of shares subject to the RSU on the one year anniversary of the grant date, and the remaining shares shall vest in twelve (12) equal quarterly installments thereafter, subject to the terms of the 2013 Plan. Each RSU represents a contingent right to receive either one share of common stock of the Issuer or cash in lieu thereof, at the Issuer's discretion, in accordance with the terms of the 2013 Plan. |
(12) | The date of grant of the option was 05/18/2021. 25% of the shares subject to the option will vest on 05/18/2022 and the remainder vests in 36 equal monthly installments thereafter. |
(13) | The date of Restricted Stock Unit ("RSU") grant was 05/18/2021. RSU vest as to twenty-five percent (25%) of the total number of shares subject to the RSU on 05/15/2022, and the remaining shares shall vest in twelve (12) equal quarterly installments thereafter, subject to the terms of the 2013 Plan. Each RSU represents a contingent right to receive either one share of common stock of the Issuer or cash in lieu thereof, at the Issuer's discretion, in accordance with the terms of the 2013 Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Leal James C/O TANDEM DIABETES CARE, INC. 11075 ROSELLE STREET SAN DIEGO, CA 92121 |
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| SVP, Operations |
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Signatures
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s/ David B. Berger, Attorney-in-Fact for James A. Leal | | 6/10/2021 |
**Signature of Reporting Person | Date |
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