13D Filing: Ronin Capital, LLC and Peregrine Pharmaceuticals Inc (PPHM)

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You can access the original SEC filing by clicking here.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
John S. Stafford, III 111,699 0 111,699 0 111,699 6.8%
Ronin Capital 111,699 0 111,699 0 111,699 6.8%
Stephen White 11,800 0 11,800 0 11,800 0.7%
SW Investment Management 11,800 0 11,800 0 11,800 0.7%
SWIM Partners 8,680 0 8,680 0 8,680 0.5%

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Washington, D.C. 20549









Under the Securities Exchange Act of 1934

(Amendment No. 1)


Peregrine Pharmaceuticals, Inc.

(Name of Issuer)


Series E Preferred Stock

(Title of Class of Securities)



(CUSIP Number)


John S. Stafford, III

c/o Ronin Capital, LLC

350 N. Orleans Street, Suite 2N

Chicago, IL 60654

(312) 244-5284

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)


May 17, 2017

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are sent.

* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).


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