13G Filing: 683 Capital Partners and Tracon Pharmaceuticals Inc. (TCON)

Item 4. Ownership.

(a)	Amount beneficially owned:

As of September 18, 2017, 683 Capital Partners, LP beneficially owned 895,000 shares of Common Stock.

683 Capital Management, LLC, as the Investment Advisor of 683 Capital Partners, LP, may be deemed to have beneficially owned the 895,000 shares of Common Stock beneficially owned by 683 Capital Partners, LP.

Ari Zweiman, as the Managing Member of 683 Capital Management, LLC, may be deemed to have beneficially owned the 895,000 shares of Common Stock beneficially owned by 683 Capital Management, LLC.

(b)	Percent of Class:

The following percentage is based on 16,655,917 shares of Common Stock outstanding as of August 4, 2017 as disclosed in the Issuer’s Form 10-Q filed with the SEC on August 8, 2017.

As of September 18, 2017, each of the Reporting Persons may be deemed to have beneficially owned approximately 5.4% of the outstanding shares of Common Stock.

(c)	Number of shares as to which such person has:

(i) Sole power to vote or to direct the vote of Common Stock:

See Cover Pages Items 5-9.

(ii) Shared power to vote or to direct the vote of Common Stock:

See Cover Pages Items 5-9.

(iii) Sole power to dispose or to direct the disposition of Common Stock:

See Cover Pages Items 5-9.

(iv) Shared power to dispose or to direct the disposition of Common Stock:

See Cover Pages Items 5-9.

(h)	[ ]	Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.

(i)	[ ]	Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;

(j)	[ ]	Non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J).

(k)	[ ]	Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____

13G Filing: 683 Capital Partners and Tracon Pharmaceuticals Inc. (TCON)

Published on September 29, 2017 at 11:52 am by Insider Monkey Staff in Hedge Funds

Page 6 of 9 – SEC Filing

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