Filing Details

Accession Number:
0000902664-23-004790
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-09-15 16:05:17
Reporting Period:
2023-09-14
Accepted Time:
2023-09-15 16:05:17
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1267602 Alimera Sciences Inc ALIM Pharmaceutical Preparations (2834) 200028718
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1727492 Caligan Partners Lp 515 Madison Avenue
8Th Floor
New York NY 10022
No No Yes No
1785557 Edward David Johnson 590 Madison Avenue
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, Par Value 0.01 Per Share (Common Stock) Disposition 2023-09-14 579,000 $3.39 16,256,154 No 4 S Indirect See footnote
Common Stock Acquisiton 2023-09-14 579,000 $3.39 16,835,154 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
No 4 P Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Notional Derivative Agreements (obligation to buy) Acquisiton 2023-09-14 1 $0.00 490,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
490,000 Yes 4 J Indirect
Footnotes
  1. This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.
  2. Represents rebalancing transaction between the Caligan Fund and Accounts.
  3. At the market close on September 14, 2023, the expiration date of the notional principal amount derivative agreements in the form of cash settled swaps previously reported on the Form 3 filed by the Reporting Persons on August 11, 2023, was extended from February 2, 2024 to September 26, 2025.