Filing Details
- Accession Number:
- 0001733439-18-000016
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2018-12-03 10:14:33
- Reporting Period:
- 2018-11-29
- Accepted Time:
- 2018-12-03 10:14:33
- Original Submission Date:
- 2018-12-03
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1394319 | Tracon Pharmaceuticals Inc. | TCON | Biological Products, (No Disgnostic Substances) (2836) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1658437 | Puissance Capital Management Lp | 950 Third Avenue, 25Th Floor New York NY 10022 | No | No | Yes | No | |
| 1694061 | T Theodore Wang | C/O Puissance Capital Management Lp 950 Third Avenue, 25Th Floor New York NY 10022 | Yes | No | Yes | No | |
| 1695339 | Puissance Capital Management (Gp) Llc | 950 Third Avenue 25Th Floor New York NY 10022 | No | No | Yes | No | |
| 1695347 | Puissance Capital Fund (Gp) Llc | 950 Third Avenue 25Th Floor New York NY 10022 | No | No | Yes | No | |
| 1718140 | Puissance Cross-Border Opportunities Iv Llc | 950 Third Avenue 25Th Fl New York NY 10022 | No | No | Yes | No | |
| 1733439 | Puissance Cross-Border Opportunities V Llc | 950 Third Avenue 25Th Fl New York NY 10022 | No | No | Yes | No | |
| 1760460 | Vi Fund Opportunities Science Life Puissance | 950 Third Avenue Fl 25 New York NY 10022 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-11-29 | 4,326 | $1.13 | 4,606,094 | No | 4 | P | Indirect | By funds |
| Common Stock | Disposition | 2018-11-29 | 4,326 | $1.21 | 4,601,768 | No | 4 | S | Indirect | By funds |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By funds |
| No | 4 | S | Indirect | By funds |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,601,768 | Indirect | By funds |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants (right to buy) | $2.70 | 2018-03-27 | 2024-03-27 | 4,601,768 | 4,601,768 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-03-27 | 4,601,768 | 4,601,768 | Indirect |
Footnotes
- Consists of: 2,831,857 Shares directly owned by Puissance Cross-Border Opportunities V LLC; 1,769,911 Shares directly owned Puissance Cross-Border Opportunities IV LLC.
- Consists of: 2,831,857 Warrants directly owned by Puissance Cross-Border Opportunities V LLC; 1,769,911 Warrants directly owned Puissance Cross-Border Opportunities IV LLC.
- Puissance Capital Fund (GP) LLC serves as the managing member of Puissance Cross-Border Opportunities V LLC, Puissance Life Science Opportunities Fund VI and Puissance Cross-Border Opportunities IV LLC and may be deemed to beneficially own these shares. Puissance Capital Management LP serves as the investment manager of Puissance Cross-Border Opportunities V LLC, Puissance Life Science Opportunities Fund VI and Puissance Cross-Border Opportunities IV LLC and may be deemed to beneficially own these shares. Puissance Capital Management (GP) LLC serves as the general partner to Puissance Capital Management LP and may be deemed to beneficially own these shares. Theodore T. Wang serves as the managing member of Puissance Capital Fund (GP) LLC and Puissance Capital Management (GP) LLC and may be deemed to beneficially own these shares.
- The purchase and sale of 4,326 shares of Common Stock were under the fund Puissance Life Science Opportunities Fund VI.
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