13G Filing: Tappan Street Partners and Peregrine Pharmaceuticals Inc (PPHM)

Page 8 of 9 – SEC Filing

 

CUSIP
No
.
713661502   Page
8 of 9

 

Item
5.
Ownership
of Five Percent or Less of a Class.
  If
this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the following ☐
   
Item
6.
Ownership
of More than Five Percent on Behalf of Another Person.
  Not
applicable
   
Item
7.
Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control
Person.
  Not
applicable
   
Item
8.
Identification
and Classification of Members of the Group.
  Not
applicable
   
Item
9.
Notice
of Dissolution of Group.
  Not
applicable
   
Item
10.
Certification.

By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are
not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than
activities solely in connection with a nomination under § 240.14a-11.

After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.

Date: August
14, 2017
   
Signature: /s/  Prasad
Phatak
Name: Prasad
Phatak
   

TAPPAN
STREET PARTNERS FUND L.P.

Date:

August
14, 2017

 
By: /s/
Prasad Phatak
Name: Prasad
Phatak
Title: Managing
Member of Tappan Street Partners LLC, investment adviser to Tappan Street Partners Fund L.P.
 

TAPPAN
STREET PARTNERS IDEAS FUND L.P.

Date:

August
14, 2017

 

By: /s/
Prasad Phatak
Name: Prasad
Phatak
Title: Managing
Member of Tappan Street Partners LLC, investment adviser to Tappan Street Partners Ideas Fund L.P.
 

TAPPAN
STREET PARTNERS, LLC

Date:

August
14, 2017

   
By: /s/
Prasad Phatak
Name: Prasad
Phatak
Title: Managing
Member of Tappan Street Partners LLC

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