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

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CUSIP No .

731661502

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	(f)	☐	An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

	(g)	☐	A parent holding company or control person in accordance with §240.13d-1(b)(ii)(G);

	(h)	☐	A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

	(i)	☐	A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

	(j)	☐	Group, in accordance with §240.13d-1(b)(1)(ii)(J).

Item 4.	Ownership.

	Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

	(a)	Amount beneficially owned: 2,298,684*



	(b)	Percent of class: 5.1%*+



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

		(i)	Sole power to vote or to direct the vote 2,298,684*



		(ii)	Shared power to vote or to direct the vote

			0

		(iii)	Sole power to dispose or to direct the disposition of 2,298,684*



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

			0

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