13G Filing: Tappan Street Partners and Peregrine Pharmaceuticals Inc (PPHM)

1

NAME
OF REPORTING PERSONS
Prasad Phatak

I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY)

2

CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)
☐

(b)
☐

3

SEC
USE ONLY

4

CITIZENSHIP
OR PLACE OF ORGANIZATION

United
States of America

NUMBER
OF
SHARES

BENEFICIALLY
OWNED BY

EACH
REPORTING

PERSON
WITH:

5

SOLE
VOTING POWER

67,107

6

SHARED
VOTING POWER

2,231,577*

7

SOLE
DISPOSITIVE POWER

67,107

8

SHARED
DISPOSITIVE POWER

2,231,577*

9

AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,298,684*

10

CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES

☐

11

PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9

5.10%†

12

TYPE
OF REPORTING PERSON

IN

13G Filing: Tappan Street Partners and Peregrine Pharmaceuticals Inc (PPHM)

Published on August 14, 2017 at 3:34 pm by Insider Monkey Staff in Hedge Funds

Page 5 of 9 – SEC Filing

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1	NAME OF REPORTING PERSONS Prasad Phatak I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP			(a) ☐ (b) ☐
3	SEC USE ONLY
4	CITIZENSHIP OR PLACE OF ORGANIZATION United States of America
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:		5	SOLE VOTING POWER 67,107
		6	SHARED VOTING POWER 2,231,577*
		7	SOLE DISPOSITIVE POWER 67,107
		8	SHARED DISPOSITIVE POWER 2,231,577*
9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,298,684*
10	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES			☐
11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.10%†
12	TYPE OF REPORTING PERSON IN