13D Filing: Ronin Capital, LLC and Peregrine Pharmaceuticals Inc (PPHM)

 

Ronin Capital, LLC

 

·                  On May 1, 2017, Ronin Capital, LLC purchased 7,200 shares at a price of $22.51310 per share.

 

·                  On May 15, 2017, Ronin Capital, LLC purchased 4,740 shares at a price of $22.20000 per share.

 

·                  On May 17, 2017, Ronin Capital, LLC purchased 4,700 shares at a price of $22.03830 per share.

 

SW Investment Management LLC

 

·                  On May 12, 2017, SW Investment Management LLC purchased 700 shares at a price of $22.15 per share.

 

·                  On May 17, 2017, SW Investment Management LLC purchased 1,120 shares at a price of $22.07 per share.

 

SWIM Partners LP

 

·                  On May 12, 2017, SWIM Partners LP purchased 1,800 shares at a price of $22.15 per share.

 

·                  On May 17, 2017, SWIM Partners LP purchased 2,880 shares at a price of $22.07 per share.

 

(d)                              No person other than John S. Stafford, III, Ronin Capital, LLC, Stephen White, SW Investment Management LLC and SWIM Partners LP is known to have the right to receive or the power to direct the receipt of dividends from or the proceeds from the sale of, the 123,499 shares of the Preferred Stock reported hereby.

 

(e)                                  Not applicable.

 

Item 6.         Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

 

Ronin Capital, LLC, SW Investment Management LLC and SWIM Partners LP have an oral agreement to act as a group for purposes of Regulation 13D solely with respect to the securities of the Issuer, and to consult with each other and possibly work together to effectuate the actions described in Item 4 above should they deem such actions desirable. Each of the Reporting Persons has entered into a joint filing agreement with respect to the transactions being reported on this Schedule 13D.

 

Item 7.         Material to be Filed as Exhibits

 

None.

 

Except as expressly modified hereby, all provisions of the Schedule 13D shall continue in full force and effect.

 

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