Filing Details
- Accession Number:
- 0001493152-23-007400
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-13 16:05:27
- Reporting Period:
- 2023-03-09
- Accepted Time:
- 2023-03-13 16:05:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1394319 | Tracon Pharmaceuticals Inc. | TCON | Biological Products, (No Disgnostic Substances) (2836) | 342037594 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1595855 | Opaleye Management Inc. | One Boston Place, 26Th Floor Boston MA 02108 | 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, Par Value $0.001 Per Share | Acquisiton | 2023-03-09 | 174,508 | $1.38 | 4,324,508 | No | 4 | P | Indirect | By Opaleye, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Opaleye, L.P. |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Prefunded Warrants | $0.01 | 2020-08-27 | 2030-08-27 | 1,667,974 | 1,667,974 | Indirect |
| Common Stock | Prefunded Warrants | $0.01 | 2020-08-31 | 2030-08-31 | 1,358,993 | 1,358,993 | Indirect |
| Common Stock | Prefunded Warrants | $0.01 | 2022-06-21 | 2032-06-21 | 2,205,018 | 2,205,018 | Indirect |
| Common Stock | Prefunded Warrants | $0.01 | 2023-03-09 | 2033-03-09 | 2,013,999 | 2,013,999 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2030-08-27 | 1,667,974 | 1,667,974 | Indirect |
| 2030-08-31 | 1,358,993 | 1,358,993 | Indirect |
| 2032-06-21 | 2,205,018 | 2,205,018 | Indirect |
| 2033-03-09 | 2,013,999 | 2,013,999 | Indirect |
Footnotes
- Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.
- The warrants may not be exercised to the extent that such exercise would cause the reporting person and its affiliates to beneficially own more than 19.99% of the Issuer's then outstanding common stock.
Billionaire Hedge Funds
