Filing Details
- Accession Number:
- 0001140361-23-014284
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-28 17:13:19
- Reporting Period:
- 2023-03-24
- Accepted Time:
- 2023-03-28 17:13:19
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1267602 | Alimera Sciences Inc | ALIM | Pharmaceutical Preparations (2834) | 200028718 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1306923 | Palo Alto Investors Lp | 470 University Avenue Palo Alto CA 94301 | No | No | No | 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 | 2023-03-24 | 200,919 | $1.56 | 0 | No | 4 | S | Indirect | See note |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See note |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Convertible Preferred Stock | Disposition | 2023-03-24 | 600,000 | $1.56 | 601,502 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2012-10-01 | No | 4 | S | Indirect |
Footnotes
- Palo Alto Investors LP ("PAI") is the investment adviser to private funds, including Palo Alto Healthcare Master Fund, L.P. and Palo Alto Healthcare Master Fund II, L.P. (collectively, the "Funds"). Anthony Joonkyoo Yun, MD and Patrick Lee, MD are the managers and controlling owners of PAI. PAI may be deemed to indirectly beneficially own these securities as the investment adviser to the Funds. Dr. Yun and Dr. Lee may be deemed to indirectly beneficially own them as the control persons of PAI. No single Fund owns more than 10% of the outstanding shares of Common Stock. The reporting person disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein.
- Each share of Series A Convertible Preferred Stock is convertible into shares of common stock at the rate equal to $40.00 divided by $39.90. The Series A Convertible Preferred Stock does not have an expiration date.