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

Page 2 of 5 – SEC Filing

CUSIP No . 713661502   Page 2 of 7
1

NAME OF REPORTING PERSONS
Tappan Street Partners, LLC

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 45-2662859

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)

(b)

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware, United State of America

NUMBER OF
SHARES

BENEFICIALLY
OWNED BY

EACH
REPORTING

PERSON
WITH:

5

SOLE VOTING POWER

2,298,684*

6

SHARED VOTING POWER

0

7

SOLE DISPOSITIVE POWER

2,298,684*

8

SHARED DISPOSITIVE POWER

0

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON

2,298,684*

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

5.1%*+

12

TYPE OF REPORTING PERSON

IA


*As of July 11, 2017, Tappan Street Partners LLC possesses the
power to vote and dispose or direct the disposition of 2,298,684 shares, and as such may be deemed to beneficially own 2,298,684
shares.

+ Based on a total of 45,069,188 Shares outstanding as of July
10, 2017, as set forth in the Issuer’s most recent Form 10-K, filed July 14, 2017.

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