Filing Details

Accession Number:
0001209191-18-021756
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-27 16:54:01
Reporting Period:
2018-03-27
Accepted Time:
2018-03-27 16:54:01
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1394319 Tracon Pharmaceuticals Inc. TCON Biological Products, (No Disgnostic Substances) (2836) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1479386 Ravi Viswanathan 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1551531 Nea Partners 14, L.p. 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1551532 Nea 14 Gp, Ltd 1954 Greenspring Drive
Suite 600
Timonium MD 21093
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 Acquisiton 2018-03-27 707,964 $2.70 3,466,003 No 4 P Indirect See Note 2
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Note 2
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant to Purchase Common Stock Acquisiton 2018-03-27 707,964 $0.13 707,964 $2.70
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
707,964 2018-03-27 2024-03-27 No 4 P Indirect
Footnotes
  1. Acquired from the issuer pursuant to a Securities Purchase Agreement dated March 22, 2018, with a closing date of March 27, 2018.
  2. The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.