Filing Details
- Accession Number:
- 0001733439-19-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-11 10:47:42
- Reporting Period:
- 2019-12-05
- Accepted Time:
- 2019-12-11 10:47:42
- 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 | No | 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 |
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 | Disposition | 2019-12-05 | 43,996 | $3.05 | 416,182 | No | 5 | S | Indirect | By funds |
| Common Stock | Disposition | 2019-12-09 | 340,134 | $2.92 | 76,048 | No | 4 | S | Indirect | By funds |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | S | Indirect | By funds |
| No | 4 | S | 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) | $27.00 | 2018-03-27 | 2024-03-27 | 460,178 | 460,178 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-03-27 | 460,178 | 460,178 | Indirect |
Footnotes
- Puissance Cross-Border Opportunities V LLC made an in-kind distribution of 43,996 shares of common stock.
- Consists of: 239,190 Shares directly owned by Puissance Cross-Border Opportunities V LLC; 176,992 Shares directly owned Puissance Cross-Border Opportunities IV LLC.
- Puissance Cross-Border Opportunities IV LLC made an in-kind distribution of 176,992 shares of common stock. Puissance Cross-Border Opportunities V LLC made an in-kind distribution of 163,142 shares of common stock.
- Consists of: 76,048 Shares directly owned by Puissance Cross-Border Opportunities V LLC.
- Consists of: 283,186 Warrants directly owned by Puissance Cross-Border Opportunities V LLC; 176,992 Warrants directly owned Puissance Cross-Border Opportunities IV LLC.
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