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

Item
1(a).

Name
of Issuer: Peregrine Pharmaceuticals, Inc.

Item
1(b).

Address
of Issuer’s Principal Executive Offices: 14282 Franklin Avenue,

Tustin,
California 92780

Item
2(a).

Name
of Person Filing: Tappan Street Partners LLC

Tappan
Street Partners Fund L.P.

Tappan
Street Partners Ideas Fund L.P.

Prasad
Phatak

Item
2(b).

Address
of Principal Business Office or, if None, Residence:

33
Irving Place, Third Floor, New York, NY 10003

Item
2(c).

Citizenship:
Tappan Street Partners, LLC is a Delaware limited liability company. Tappan Street Partners Fund, L.P. is a Delaware limited
partnership. Tappan Street Partners Ideas Fund, L.P. is a Delaware limited partnership. Mr. Phatak is a United States citizen.

Item
2(d).

Title
of Class of Securities: Common Stock ($0.001 par value)

Item
2(e).

CUSIP
Number: 731661502

Item
3.

If
This Statement is Filed Pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a:

(a)

☐

Broker
or dealer registered under Section 15 of the Act (15 U.S.C. 78o).

(b)

☐

Bank
as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).

(c)

☐

Insurance
company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).

(d)

☐

Investment
company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

(e)

☐

An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

(f)

☐

An
employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

(g)

☐

A
parent holding company or control person in accordance with §240.13d-1(b)(ii)(G);

(h)

☐

A
savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)

☐

A
church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company
Act (15 U.S.C. 80a-3);

(j)

☐

Group,
in accordance with §240.13d-1(b)(1)(ii)(J).

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 6 of 9 – SEC Filing

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