Geoffrey M. Parker - Nov 15, 2021 Form 4 Insider Report for Tricida, Inc. (TCDA)

Role: COO, CFO and EVP
Signature: /s/ Robert McKague, attorney-in-fact
Stock symbol: TCDA
Transactions as of: Nov 15, 2021
Transactions value $: $1,000,002
Form type: 4
Date filed: 11/17/2021, 03:29 PM
Previous filing: Nov 1, 2021
Next filing: Dec 16, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	TCDA	Common Stock	Award	$1M	+167K	+175.44%	$6.00^*	262K	Nov 15, 2021	By Geoffrey M. Parker and Jill Gofen Parker Rev. Trust dated 1/27/00	F1, F2
holding	TCDA	Common Stock						63.3K	Nov 15, 2021	Direct	F3
holding	TCDA	Common Stock						40K	Nov 15, 2021	By Equity Trust Company, Trustee of the Geoffrey M. Parker Roth IRA	F4
holding	TCDA	Common Stock						55K	Nov 15, 2021	By Equity Trust Company, Trustee of the Geoffrey M. Parker Rollover IRA	F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	TCDA	Common Warrants	Award		+167K			167K	Nov 15, 2021	Common Stock	167K	$11.00	By Geoffrey M. Parker and Jill Gofen Parker Rev. Trust dated 1/27/00	F1, F2, F6, F7

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	These shares of common stock and these common warrants were acquired directly from Tricida, Inc. (the "Issuer") in a registered direct offering. For each share purchased in the registered direct offering, at a price of $6.00 per share of common stock, the purchaser received one warrant.
F2	Shares held by the Geoffrey M. Parker and Jill Gofen Parker Rev. Trust dated 1/27/00.
F3	This amount includes 2,500 shares acquired on June 30,2021 under the Tricida, Inc. 2018 Employee Stock Purchase Plan. These acquisitions are exempt from Section 16(b) pursuant to Rule 16b-3(c) and exempt from Section 16(a) pursuant to Rule 16a-3(f)(1)(i)(B).
F4	Shares held by Equity Trust Company, Trustee of the Geoffrey M. Parker Roth IRA.
F5	Shares held by Equity Trust Company, Trustee of the Geoffrey M. Parker Rollover IRA.
F6	The common warrants may be exercised for shares of common stock at any time on or after the date that is six months after the date of their issuance.
F7	The expiration date is the earliest of: (a) the third anniversary of the date of their issuance, (b) immediately prior to the closing of a fundamental transaction or (c) the occurrence of certain other events. A "fundamental transaction" includes a consolidation or merger, the sale, transfer or other disposition of all or substantially all of the Issuer's properties or assets, the acquisition of more than 50% of the Issuer's outstanding common stock, any reorganization, recapitalization or reclassification of the Issuer's common stock or any person or group becoming the beneficial owner of 50% of the voting power represented by the Issuer's outstanding common stock.