UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Incentive Stock Option (1) | Â (2) | Â (3) | Common Stock | 7,460 | $ 11.73 | D | Â |
Incentive Stock Option (1) | Â (4) | Â (3) | Common Stock | 6,863 | $ 10.72 | D | Â |
Incentive Stock Option (1) | Â (5) | Â (3) | Common Stock | 5,968 | $ 7.04 | D | Â |
Incentive Stock Option (1) | Â (6) | Â (3) | Common Stock | 158,749 | $ 1.11 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Anacone Robert C/O TANDEM DIABETES CARE, INC., 11045 ROSELLE STREET SAN DIEGO, CA 92121 |
 |  |  EXECUTIVE VP AND CCO |  |
/s/ David B. Berger, Attorney-in-Fact for Robert B. Anacone | 11/13/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Granted pursuant to the Issuer's Tandem Diabetes Care, Inc. 2006 Stock Incentive Plan. |
(2) | The date of grant of the option was 3/16/2009. All shares subject to the option vested as to 25% on 2/17/2010 and in 36 equal monthly installments thereafter. |
(3) | The expiration date for these options is 10 years from the date of grant. |
(4) | The date of grant of the option was 8/20/2009. All shares subject to the option vested as to 25% on 8/20/2010 and in 36 equal monthly installments thereafter. |
(5) | The date of grant of the option was 10/20/2011. All shares subject to the option vested as to 25% on 10/20/2012 and continue to vest in 36 equal monthly installments thereafter. |
(6) | The date of grant of the option was 4/23/2013. All shares subject to the option will vest in 24 equal monthly installments commencing on 4/23/2013. |