Statement of Changes in Beneficial Ownership (4)
September 17 2021 - 5:19PM
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
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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
*
BERGER DAVID B |
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, Bus Ops & Compliance |
(Last)
(First)
(Middle)
C/O TANDEM DIABETES CARE, INC., 11075 ROSELLE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/15/2021 |
(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 | 9/15/2021 | | M(1) | | 9000 | A | $18.86 | 13247 | D | |
Common Stock | 9/15/2021 | | S(2) | | 1632 | D | $120.9309 (3) | 11615 | D | |
Common Stock | 9/15/2021 | | S(2) | | 3068 | D | $121.6631 (4) | 8547 | D | |
Common Stock | 9/15/2021 | | S(2) | | 4300 | D | $122.6356 (5) | 4247 | D | |
Common Stock | | | | | | | | 242 | I | Berger Family 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 | $18.86 | 9/15/2021 | | M | | 9000 | | (7) | (8) | Common Stock | 9000.0 | $18.86 | 76000 | 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 August 11, 2021. |
(3) | The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $120.19 to $121.17. 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 $121.19 to $122.16. 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 $122.20 to $122.77. 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 Berger Family Trust dated April 16, 2008. |
(7) | The options vested as to fifty percent (50%) of the underlying shares on 6/14/2019, 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BERGER DAVID B C/O TANDEM DIABETES CARE, INC. 11075 ROSELLE STREET SAN DIEGO, CA 92121 |
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| EVP, Bus Ops & Compliance |
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Signatures
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David B. Berger | | 9/17/2021 |
**Signature of Reporting Person | Date |
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