Leal James's Form 4 filing
Tandem Diabetes Care Inc (TNDM) · filed Sep 29, 2021
- Accession no.
- 0001438133-21-000178
- Filed
- Sep 29, 2021
- Trade date
- Sep 27, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $231.9K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Leal JamesCIK 0001866570 | Officer (SVP, Operations) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 27, 2021 | Common Stock | MOption exerciseAcquired | +1,667 | $51.50 | +$85,850.5 | 5,418 | Direct | |
| Sep 27, 2021 | Common Stock | MOption exerciseAcquired | +238 | $82.34 | +$19,596.92 | 5,656 | Direct | |
| Sep 27, 2021 | Common Stock | SSaleDisposed | −660 | $120.08F3 | −$79,252.8 | 4,996 | Direct | |
| Sep 27, 2021 | Common Stock | SSaleDisposed | −201 | $121.99F4 | −$24,519.99 | 4,795 | Direct | |
| Sep 27, 2021 | Common Stock | SSaleDisposed | −1,044 | $122.71F5 | −$128,109.24 | 3,751 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 27, 2021 | Common Stock | MOption exerciseAcquired | +1,667 | $51.50 | +$85,850.5 | 28,333 | Direct | |
| Sep 27, 2021 | Common Stock | MOption exerciseAcquired | +238 | $82.34 | +$19,596.92 | 7,624 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $120.00 to $120.63. 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.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $121.04 to $122.03. 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.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported reflects the weighted average price per share of multiple transactions with prices per share ranging between $122.18 to $122.93. 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.
Referenced by the price of 1 transaction in Table I.