Filing Details

Accession Number:
0001493152-20-017505
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-09-09 18:15:41
Reporting Period:
2020-09-04
Accepted Time:
2020-09-09 18:15:41
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
1595855 Opaleye Management Inc. One Boston Place, 26Th Floor
Boston MA 02108
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, Par Value $0.001 Per Share Acquisiton 2020-09-04 566 $2.88 222,766 No 4 P Indirect By Managed Account
Common Stock, Par Value $0.001 Per Share Acquisiton 2020-09-04 8,492 $2.88 1,664,438 No 4 P Indirect By Opaleye, L.P.
Common Stock, Par Value $0.001 Per Share Acquisiton 2020-09-09 2,500 $3.47 225,266 No 4 P Indirect By Managed Account
Common Stock, Par Value $0.001 Per Share Acquisiton 2020-09-09 45,000 $3.47 1,709,438 No 4 P Indirect By Opaleye, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Managed Account
No 4 P Indirect By Opaleye, L.P.
No 4 P Indirect By Managed Account
No 4 P Indirect By Opaleye, L.P.
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Pre-funded warrant $0.01 2020-08-27 2027-08-27 1,889,513 1,889,513 Indirect
Common Stock Pre-funded warrant $0.01 2020-08-31 2027-08-31 1,358,993 1,358,993 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2027-08-27 1,889,513 1,889,513 Indirect
2027-08-31 1,358,993 1,358,993 Indirect
Footnotes
  1. The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.8847. The range of purchase prices on the transaction date was $2.68 to $2.96 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
  2. Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.
  3. Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.
  4. The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $3.4689. The range of purchase prices on the transaction date was $3.42 to $3.57 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
  5. The warrants may not be exercised to the extent that such exercise would cause the reporting person and its affiliates to beneficially own more than 9.99% of the Issuer's then outstanding common stock.