SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Yoshiyama Annie

(Last) (First) (Middle)
7000 SHORELINE COURT
SUITE 201

(Street)
SOUTH SAN FRANCISCO CA 94080

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Tricida, Inc. [ TCDA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP, Finance and CAO
3. Date of Earliest Transaction (Month/Day/Year)
08/16/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
Employee Stock Option (right to buy) $31.85 08/16/2021 D 30,000 (1) 09/26/2028 Common Stock 30,000 $0(2) 0 D
Employee Stock Option (right to buy) $3.88 08/16/2021 A 9,251 (3) 08/15/2028 Common Stock 9,251 $0(2) 9,251 D
Employee Stock Option (right to buy) $3.88 08/16/2021 A 2,750 (4) 08/15/2028 Common Stock 2,750 $0(2) 2,750 D
Employee Stock Option (right to buy) $22.82 08/16/2021 D 20,000 (5) 02/19/2029 Common Stock 20,000 $0(6) 0 D
Employee Stock Option (right to buy) $3.88 08/16/2021 A 6,042 (3) 08/15/2028 Common Stock 6,042 $0(6) 6,042 D
Employee Stock Option (right to buy) $3.88 08/16/2021 A 3,959 (4) 08/15/2028 Common Stock 3,959 $0(6) 3,959 D
Employee Stock Option (right to buy) $34.27 08/16/2021 D 4,000 (7) 08/21/2029 Common Stock 4,000 $0(8) 0 D
Employee Stock Option (right to buy) $3.88 08/16/2021 A 1,600 (3) 08/15/2028 Common Stock 1,600 $0(8) 1,600 D
Employee Stock Option (right to buy) $35.12 08/16/2021 D 10,630 (9) 02/23/2030 Common Stock 10,630 $0(10) 0 D
Employee Stock Option (right to buy) $3.88 08/16/2021 A 1,506 (3) 08/15/2028 Common Stock 1,506 $0(10) 1,506 D
Employee Stock Option (right to buy) $3.88 08/16/2021 A 2,747 (4) 08/15/2028 Common Stock 2,747 $0(10) 2,747 D
Explanation of Responses:
1. This cancelled option vested 25% on September 27, 2019 and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject to reporting person's continuous service as of each vesting date.
2. On August 16, 2021, the issuer canceled, pursuant to the issuer's stock option exchange program, an option granted to the reporting person on September 27, 2018. In exchange for the option, the reporting person received two stock options in the amounts of 9,251 and 2,750.
3. This option vests on August 16, 2022.
4. This option vests one-third on August 16, 2022 and the remaining two-thirds vests in 24 substantially equal monthly installments thereafter, subject to reporting person's continuous service as of each vesting date.
5. This cancelled option vested 25% on February 20, 2020, and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject to reporting person's continuous service as of each vesting date.
6. On August 16, 2021, the issuer canceled, pursuant to the issuer's stock option exchange program, an option granted to the reporting person on February 20, 2019. In exchange for the option, the reporting person received two stock options in the amounts of 6,042 and 3,959.
7. This cancelled option vested in 18 equal monthly installments from August 22, 2019 to February 22, 2021.
8. On August 16, 2021, the issuer canceled, pursuant to the issuer's stock option exchange program, an option granted to the reporting person on August 22, 2019. In exchange for the option, the reporting person received 1,600 stock options.
9. This cancelled option vested 25% on February 24, 2021, and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject to reporting person's continuous service as of each vesting date.
10. On August 16, 2021, the issuer canceled, pursuant to the issuer's stock option exchange program, an option granted to the reporting person on February 24, 2020. In exchange for the option, the reporting person received two stock options in the amounts of 1,506 and 2,747.
Remarks:
/s/ Geoffrey M. Parker, attorney-in-fact 08/18/2021
** 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).
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