LOCKEY CLAIRE (Chief Dev. Officer and Sr. VP) sold 52.92K shares of TRICIDA, INC. on the open market

Open‑market sale worth $1.85M. Review remaining holdings and any 10b5‑1 plan disclosures.

S · 1 sale

LOCKEY CLAIRE

Filed: 3/29/2019ACC: 0001595585-19-000068

InsiderLOCKEY CLAIRECIK 1591465

→

IssuerTRICIDA, INC.CIK 1595585

Officer· Chief Dev. Officer and Sr. VP

Since Dec 2018

-52.92K

Net shares

Net seller

$1.85M

Total sold

Open market trades

0B · 1S

Total transactions

52.92K acquired · 105.85K disposed

Non-Derivative Transactions5

Common Stock

Direct

M · Option Exercise

+2.98K

Price / share

$0.80

Trade value

$2.39K

% of position

New position

3/28/2019

0.00→2.98K

Common Stock

Direct

M · Option Exercise

+8.16K

Price / share

$2.39

Trade value

$19.51K

% of position

273.5%

3/28/2019

2.98K→11.15K

Common Stock

Direct

M · Option Exercise

+13.92K

Price / share

$1.68

Trade value

$23.38K

% of position

124.8%

3/28/2019

11.15K→25.07K

Common Stock

Direct

M · Option Exercise

+27.86K

Price / share

$1.68

Trade value

$46.80K

% of position

111.1%

3/28/2019

25.07K→52.92K

Common Stock

Direct

S · Sale

−52.92K

Price / share

$35.00

Trade value

$1.85M

% of position

New position

3/28/2019

52.92K→0.00

Total

Net shares

+0.00

Net value

-$1.76M

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	3/28/2019	M · Option Exercise	+2.98K	$0.80	$2.39K	New position	0.00	2.98K
Common Stock Direct	3/28/2019	M · Option Exercise	+8.16K	$2.39	$19.51K	273.5%	2.98K	11.15K
Common Stock Direct	3/28/2019	M · Option Exercise	+13.92K	$1.68	$23.38K	124.8%	11.15K	25.07K
Common Stock Direct	3/28/2019	M · Option Exercise	+27.86K	$1.68	$46.80K	111.1%	25.07K	52.92K
Common Stock Direct	3/28/2019	S · Sale	−52.92K	$35.00	$1.85M	New position	52.92K	0.00
Total			+0.00		-$1.76M

Derivative Transactions4

Employee Stock Option (right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

2.98K shares

−2.98K

Strike price

0.8

Held after

100.31K

Exercisable

—

3/28/2019

Employee Stock Option (right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

8.16K shares

−8.16K

Strike price

2.39

Held after

21.98K

Exercisable

—

3/28/2019

Employee Stock Option (right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

13.92K shares

−13.92K

Strike price

1.68

Held after

9.95K

Exercisable

—

3/28/2019

Employee Stock Option (right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

27.86K shares

−27.86K

Strike price

1.68

Held after

23.58K

Exercisable

—

3/28/2019

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Employee Stock Option (right to buy) Direct	Common Stock2.98K shares	3/28/2019	M · Option Exercise	−2.98K	0.8	—	100.31K
Employee Stock Option (right to buy) Direct	Common Stock8.16K shares	3/28/2019	M · Option Exercise	−8.16K	2.39	—	21.98K
Employee Stock Option (right to buy) Direct	Common Stock13.92K shares	3/28/2019	M · Option Exercise	−13.92K	1.68	—	9.95K
Employee Stock Option (right to buy) Direct	Common Stock27.86K shares	3/28/2019	M · Option Exercise	−27.86K	1.68	—	23.58K