Filing Details

Accession Number:
0001733439-18-000016
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2018-12-03 10:14:33
Reporting Period:
2018-11-29
Accepted Time:
2018-12-03 10:14:33
Original Submission Date:
2018-12-03
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
1658437 Puissance Capital Management Lp 950 Third Avenue, 25Th Floor
New York NY 10022
No No Yes No
1694061 T Theodore Wang C/O Puissance Capital Management Lp
950 Third Avenue, 25Th Floor
New York NY 10022
Yes No Yes No
1695339 Puissance Capital Management (Gp) Llc 950 Third Avenue
25Th Floor
New York NY 10022
No No Yes No
1695347 Puissance Capital Fund (Gp) Llc 950 Third Avenue
25Th Floor
New York NY 10022
No No Yes No
1718140 Puissance Cross-Border Opportunities Iv Llc 950 Third Avenue
25Th Fl
New York NY 10022
No No Yes No
1733439 Puissance Cross-Border Opportunities V Llc 950 Third Avenue
25Th Fl
New York NY 10022
No No Yes No
1760460 Vi Fund Opportunities Science Life Puissance 950 Third Avenue
Fl 25
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 Acquisiton 2018-11-29 4,326 $1.13 4,606,094 No 4 P Indirect By funds
Common Stock Disposition 2018-11-29 4,326 $1.21 4,601,768 No 4 S Indirect By funds
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By funds
No 4 S Indirect By funds
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,601,768 Indirect By funds
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Warrants (right to buy) $2.70 2018-03-27 2024-03-27 4,601,768 4,601,768 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2024-03-27 4,601,768 4,601,768 Indirect
Footnotes
  1. Consists of: 2,831,857 Shares directly owned by Puissance Cross-Border Opportunities V LLC; 1,769,911 Shares directly owned Puissance Cross-Border Opportunities IV LLC.
  2. Consists of: 2,831,857 Warrants directly owned by Puissance Cross-Border Opportunities V LLC; 1,769,911 Warrants directly owned Puissance Cross-Border Opportunities IV LLC.
  3. Puissance Capital Fund (GP) LLC serves as the managing member of Puissance Cross-Border Opportunities V LLC, Puissance Life Science Opportunities Fund VI and Puissance Cross-Border Opportunities IV LLC and may be deemed to beneficially own these shares. Puissance Capital Management LP serves as the investment manager of Puissance Cross-Border Opportunities V LLC, Puissance Life Science Opportunities Fund VI and Puissance Cross-Border Opportunities IV LLC and may be deemed to beneficially own these shares. Puissance Capital Management (GP) LLC serves as the general partner to Puissance Capital Management LP and may be deemed to beneficially own these shares. Theodore T. Wang serves as the managing member of Puissance Capital Fund (GP) LLC and Puissance Capital Management (GP) LLC and may be deemed to beneficially own these shares.
  4. The purchase and sale of 4,326 shares of Common Stock were under the fund Puissance Life Science Opportunities Fund VI.