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*
COUFAL SANDRA I

(Last) (First) (Middle)
18313 CALLE LA SERRA

(Street)
RANCHO SANTA FE CA 92091

(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)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/22/2022
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
Common Stock 03/22/2022 J(1)(2)(7) 777,411(1)(2)(7) D (1)(7) 0(1)(2)(7) I(1)(2) Sibling Capital Fund II-A L.P.(1)(2)
Common Stock 03/22/2022 J(1)(3)(7) 2,773,350(1)(3)(7) D (1)(7) 0(1)(3)(7) I(1)(3) Sibling Capital Fund II-B L.P.(1)(3)
Common Stock 03/22/2022 J(1)(4)(7) 1,810,195(1)(4)(7) D (1)(7) 0(1)(4)(7) I(1)(4) Sibling Capital Fund II-C L.P.(1)(4)
Common Stock 03/22/2022 J(1)(5)(7) 599,379(1)(5)(7) D (1)(7) 0(1)(5)(7) I(1)(5) Sibling Capital Fund II-D L.P.(1)(5)
Common Stock 03/22/2022 J(1)(6)(7) 463,158(1)(6)(7) D (1)(7) 0(1)(6)(7) I(1)(6) Sibling Insiders Fund II L.P.(1)(6)
Common Stock 99,012 D
Common Stock 4,860 I By Coufal Irrevocable Trust(8)
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
Explanation of Responses:
1. Prior to March 22, 2022, the Reporting Person served as co-manager and voting member of the following entities: Sibling Capital Ventures LLC ("SCV"), Sibling Capital Ventures II LLC ("SCV II"), Sibling Capital Ventures III LLC ("SCV III"), Sibling Capital Ventures IV LLC ("SCV IV") and Sibling Insiders II LLC ("Sibling Insiders LLC"). On March 22, 2022, the governing documents of SCV, SCV II, SCV III, SCV IV and Sibling Insiders LLC were amended such that the Reporting Person is no longer a co-manager or voting member of any of such entities. As a result, the Reporting Person is not a controlling member of, and does not have or share investment control over any portfolio securities beneficially owned by, SCV, SCV II, SCV III, SCV IV or Sibling Insiders LLC.
2. The shares are held directly by Sibling Capital Fund II-A L.P. ("Sibling A"). SCV is the sole general partner of Sibling A. The shares continue to be held directly by Sibling A, but the Reporting Person is not an indirect beneficial owner of such shares as a result of the transactions described in footnote (1).
3. The shares are held directly by Sibling Capital Fund II-B L.P. ("Sibling B"). SCV II is the sole general partner of Sibling B. The shares continue to be held directly by Sibling B, but the Reporting Person is not an indirect beneficial owner of such shares as a result of the transactions described in footnote (1).
4. The shares are held directly by Sibling Capital Fund II-C L.P. ("Sibling C"). SCV III is the sole general partner of Sibling C. The shares continue to be held directly by Sibling C, but the Reporting Person is not an indirect beneficial owner of such shares as a result of the transactions described in footnote (1).
5. The shares are held directly by Sibling Capital Fund II-D L.P. ("Sibling D"). SCV IV is the sole general partner of Sibling D. The shares continue to be held directly by Sibling D, but the Reporting Person is not an indirect beneficial owner of such shares as a result of the transactions described in footnote (1).
6. The shares are held directly by Sibling Insiders Fund II L.P. ("Sibling Insiders Fund"). Sibling Insiders LLC is the sole general partner of Sibling Insiders Fund. The shares continue to be held directly by Sibling Insiders Fund, but the Reporting Person is not an indirect beneficial owner of such shares as a result of the transactions described in footnote (1).
7. No actual transfer of the shares reported has occurred. This report is being filed to report that the Reporting Person no longer has a reportable beneficial interest in the shares directly held by Sibling A, Sibling B, Sibling C, Sibling D or Sibling Insiders Fund as a result of the transactions described in footnote (1).
8. The spouse of the Reporting Person is the sole trustee of the Coufal Irrevocable Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Coufal Irrevocable Trust except to the extent of her pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
/s/ Sandra I. Coufal, M.D. 03/24/2022
** 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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