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

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Page 6 of 11 – SEC Filing

 

CUSIP No.  713661403

 

 

1.

Names of Reporting Person.
SWIM Partners LP
90-0852885

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization:
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power:
8,680 (5)

 

8.

Shared Voting Power:
0

 

9.

Sole Dispositive Power:
8,680 (5)

 

10.

Shared Dispositive Power:
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person:
8,680 (5)

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11):
0.5%

 

 

14.

Type of Reporting Person (See Instructions):
PN

 


(5)                                 Stephen White is the indirect beneficial owner of all of the shares of Series E Convertible Preferred Stock of Peregrine Pharmaceuticals, Inc. held of record or beneficially owned by SWIM Partners LP by virtue of his having sole voting and dispositive power over such shares.

 

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