Filing Details
- Accession Number:
- 0000902664-23-004790
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-09-15 16:05:17
- Reporting Period:
- 2023-09-14
- Accepted Time:
- 2023-09-15 16:05:17
- 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 |
---|---|---|---|---|---|---|---|
1727492 | Caligan Partners Lp | 515 Madison Avenue 8Th Floor New York NY 10022 | No | No | Yes | No | |
1785557 | Edward David Johnson | 590 Madison Avenue 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, Par Value 0.01 Per Share (Common Stock) | Disposition | 2023-09-14 | 579,000 | $3.39 | 16,256,154 | No | 4 | S | Indirect | See footnote |
Common Stock | Acquisiton | 2023-09-14 | 579,000 | $3.39 | 16,835,154 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Notional Derivative Agreements (obligation to buy) | Acquisiton | 2023-09-14 | 1 | $0.00 | 490,000 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
490,000 | Yes | 4 | J | Indirect |
Footnotes
- This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.
- Represents rebalancing transaction between the Caligan Fund and Accounts.
- At the market close on September 14, 2023, the expiration date of the notional principal amount derivative agreements in the form of cash settled swaps previously reported on the Form 3 filed by the Reporting Persons on August 11, 2023, was extended from February 2, 2024 to September 26, 2025.