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Filing Details

Accession Number:: 0001493152-21-030481
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-12-03 17:14:32
Reporting Period:: 2021-12-01

Accepted Time:: 2021-12-03 17:14:32
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

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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	2021-12-01	45,000	$2.40	2,338,371	No	4	P	Indirect	By Opaleye, L.P.
Common Stock, Par Value $0.001 Per Share	Acquisiton	2021-12-01	5,000	$2.40	230,000	No	4	P	Indirect	By Managed Account
Common Stock, Par Value $0.001 Per Share	Acquisiton	2021-12-02	10,000	$2.35	2,348,371	No	4	P	Indirect	By Opaleye, L.P.
Common Stock, Par Value $0.001 Per Share	Acquisiton	2021-12-02	500	$2.35	230,500	No	4	P	Indirect	By Managed Account.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Opaleye, L.P.
No	4	P	Indirect	By Managed Account
No	4	P	Indirect	By Opaleye, L.P.
No	4	P	Indirect	By Managed Account.

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Prefunded Warrants	$0.01	2020-08-27	2027-08-27	1,889,513	1,889,513	Indirect
Common Stock	Prefunded Warrants	$0.01	2020-08-31	2020-08-31	1,358,593	1,358,993	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2027-08-27	1,889,513	1,889,513	Indirect
2020-08-31	1,358,593	1,358,993	Indirect

Footnotes

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 $2.4032. The range of purchase prices on the transaction date was $2.33 to $2.45 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.
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.
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.
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 $2.3486. The range of purchase prices on the transaction date was $2.23 to $2.39 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.
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.