What changed in this filing

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Item 9A. Controls and Procedures

2022-02-22 compared with 2021-02-24 · 36 added, 20 removed, 225 unchanged (20% of the section changed)

7 unchanged sentences

Internal control over financial reporting is a process designed by or under the supervision of our management, including our principal executive officer and principle financial officer, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of consolidated financial statements for external purposes in accordance with accounting principles generally accepted in the United States of America.

As of December 31, 2020, our management assessed the effectiveness of our internal control over financial reporting using the criteria set forth by the Committee of Sponsoring Organizations of the Treadway Commission in Internal Control-Integrated Framework.

As of December 31, 2021, our management assessed the effectiveness of our internal control over financial reporting using the criteria set forth by the Committee of Sponsoring Organizations of the Treadway Commission in Internal Control-Integrated Framework (2013 Framework) (the COSO criteria).

Based on this assessment, our management concluded that, as of December 31, 2021, our internal control over financial reporting was effective.

19 unchanged sentences

(the Company) maintained, in all material respects, effective internal control over financial reporting as of December 31, 2021, based on the COSO criteria.

We also have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), the consolidated balance sheets of the Company as of December 31, 2020 and 2019, the related consolidated statements of operations and comprehensive loss, stockholders‘ equity (deficit), and cash flows, for each of the three years in the period ended December 31, 2020, and the related notes and our report dated February 24, 2021 expressed an unqualified opinion thereon.

We also have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), the consolidated balance sheets of the Company as of December 31, 2021 and 2020, the related consolidated statements of operations and comprehensive income (loss), stockholders‘ equity, and cash flows, for each of the three years in the period ended December 31, 2021, and the related notes and our report dated February 22, 2022 expressed an unqualified opinion thereon.

Basis for Opinion

34 unchanged sentences

The information required by this item will be set forth in our Proxy Statement, or in an amendment to this Annual Report, and is incorporated herein by reference.

Principal Accounting Fees and Services.

Principal Accountant Fees and Services.

The information required by this item will be set forth in our Proxy Statement, or in an amendment to this Annual Report, and is incorporated herein by reference.

5 unchanged sentences

Consolidated Balance Sheets

Consolidated Statements of Operations and Comprehensive Loss

Consolidated Statements of Stockholders’ Equity (Deficit)

Consolidated Statements of Operations and Comprehensive Income ( Los s)

Consolidated Statements of Stockholders’ Equity

Consolidated Statements of Cash Flows

8 unchanged sentences

3.2 Amended and Restated Bylaws (as amended through February 4, 2021 and currently in effect).

10-K 001-36189 24-Feb-21 3.2

4.1 Description of Capital Stock .

10 unchanged sentences

8-K 001-36189 13-Oct-17 4.1

4.7 Indenture between Tandem Diabetes Care, Inc.

4.7 Indenture dated May 15, 2020 by and between Tandem Diabetes Care, Inc.

Bank National Association.

5 unchanged sentences

S-1 333-191601 7-Oct-13 10.3

10.2* Form of Stock Option Agreement under 2006 Plan.

10.2* Form of Stock Option Agreement under the 2006 Stock Incentive Plan.

S-1 333-191601 7-Oct-13 10.4

10.3* Form of Restricted Stock Purchase Agreement under 2006 Plan.

10.3* Form of Restricted Stock Purchase Agreement under the 2006 Stock Incentive Plan.

S-1 333-191601 7-Oct-13 10.5

5 unchanged sentences

10-Q 001-36189 30-Jul-2020 10.2

10.6* Form of Restricted Stock Unit Agreement under the 2013 Plan.

10.6* Form of Restricted Stock Unit Agreement under the Amended and Restated 2013 Stock Incentive Plan.

10-Q 001-36189 30-Jul-2020 10.1

10.7* Form of Stock Option Agreement under 2013 Plan.

10.7* Form of Stock Option Agreement under the Ame nded and Restated 2013 Stock Incentive Plan.

S-1/A 333-191601 1-Nov-13 10.7

10.8* Form of Stock Option Agreement under 2013 Plan (Non-Employee Directors).

10.8* Form of Stock Option Agreement under the Amended and Restated 2013 Stock Incentive Plan (Non-Employee Directors).

S-1/A 333-191601 1-Nov-13 10.8

3 unchanged sentences

10.10* Tandem Diabetes Care, Inc.

2020 Senior Management Cash Bonus Plan.

10-Q 001-36189 30-Apr-2020 10.2

10.11* Employee Offer Letter, dated July 8, 2013, by and between Tandem Diabetes Care, Inc.

Management Cash Bonus Plan.

10-Q 001-36189 5-May-2021 10.2

10.11* Employee Offer Letter, dated Ju ne 2 8, 2013, by and between Tandem Diabetes Care, Inc.

S-1 333-191601 7-Oct-13 10.12

10.12* Employee Offer Letter, dated February 1, 2013, by and between Tandem Diabetes Care, Inc.

10.12* Employee Offer Letter, dated January 29 , 2013, by and between Tandem Diabetes Care, Inc.

S-1 333-191601 7-Oct-13 10.13

9 unchanged sentences

S-1/A 333-191601 8-Nov-13 10.19

10.18* Amended and Restated Employment Severance Agreement dated August 2, 2017, by and between the Company and Leigh A.

10.18* Amended and Restated Employment Severance Agreement dated August 2, 2017, by and between Tandem Diabetes Care, Inc.

and Leigh Vosseller.

S-1 333-222553 16-Jan-18 10.25

12 unchanged sentences

10.23** Development Agreement, dated June 4, 2015 by and between Tandem Diabetes Care, Inc.

and Dex C om, Inc.

and DexCom, Inc.

10-Q/A 001-36189 9-Nov-18 10.5

1 unchanged sentence

and DexCom, Inc.

10-K 001-36189 24-Feb-21 10.24

10.25† Commercialization Agreement, dated November 20, 2020, by and between Tandem Diabetes Care, Inc.

and DexCom, Inc.

10-K 001-36189 24-Feb-21 10.25

10.26 Lease Agreement, dated March 7, 2012, as amended through November 5, 2013, by and between Tandem Diabetes Care, Inc.

16 unchanged sentences

10-K 001-36189 24-Feb-20 10.36

10.32 Second Amendment to Lease Agreement by and Between ARE-11025/11075 ROSELLE STREET, LLC, and Tandem Diabetes Care, Inc.

10.32 Second Amendment to Lease , dated September 2, 2020 by and b etween Tandem Diabetes Care, Inc.

and ARE-11025/11075 ROSELLE STREET, LLC

10-Q 001-36189 5-Nov-2020 10.1

10.33 Fifth Amendment to Lease Agreement by and Between ARE-11025/11075 ROSELLE STREET, LLC, and Tandem Diabetes Care, Inc.

10.33 Fifth Amendment to Lease dated September 2, 2020 by and b etween Tandem Diabetes Care, Inc.

and ARE-11025/11075 ROSELLE STREET, LLC

10-Q 001-36189 5-Nov-2020 10.2

2 unchanged sentences

10-Q 001-36189 30-Apr-2020 10.1

10.35† Commercialization Agreement, dated January 14, 2022, by and between Tandem Diabetes Care, Inc.

and Unomedical A/S.

10.36 Lease Agreement dated May 10, 2021 by and Between Tandem Diabetes Care, Inc.

and ONE DEL MAR LLC

10.37 Second Amendment to Lease dated March 11, 2021 by and b etween Tandem Diabetes Care, Inc.

and TREA PACIFIC PLAZA, LLC

10-Q 001-36189 5-May-2021 10.2

10.38 Office Lease dated Se ptember 15, 2021 by and b etween Tandem Diabetes Care, Inc.

and Kilroy Realty L.P.

10-Q 001-36189 3-Nov-2021 10.1

21.1 Subsidiaries of the Registrant

40 unchanged sentences

ALLEN Lead Independent Director February 21, 2022

BLICKENSTAFF Chairman of the Board February 24, 2021

BLICKENSTAFF Chair of the Board February 21, 2022

/s/ PEYTON R.

12 unchanged sentences

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures