Filing Details
- Accession Number:
- 0001493152-22-035779
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-12-16 17:03:57
- Reporting Period:
- 2022-12-14
- Accepted Time:
- 2022-12-16 17:03:57
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1394319 | Tracon Pharmaceuticals Inc. | TCON | Biological Products, (No Disgnostic Substances) (2836) | 342037594 |
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 | 2022-12-14 | 140,000 | $1.26 | 4,150,000 | No | 4 | P | Indirect | By Opaleye, L.P. |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2022-12-14 | 27,500 | $1.24 | 440,000 | 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. |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Prefunded Warrants | $0.01 | 2020-08-27 | 2030-08-27 | 1,889,513 | 1,667,974 | Indirect |
Common Stock | Prefunded Warrants | $0.01 | 2020-08-31 | 2030-08-31 | 1,358,593 | 1,358,593 | Indirect |
Common Stock | Prefunded Warrants | $0.01 | 2022-06-21 | 2032-06-21 | 2,205,018 | 2,205,018 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2030-08-27 | 1,889,513 | 1,667,974 | Indirect |
2030-08-31 | 1,358,593 | 1,358,593 | Indirect |
2032-06-21 | 2,205,018 | 2,205,018 | Indirect |
Footnotes
- 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.
- 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.
- The prices reported above reflects the weighted average purchase price. These transactions were executed in multiple trades between $1.14 and $1.34. 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.
- 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 19.99% of the Issuer's then outstanding common stock.