SEC Form 4 · accession 0001535264-17-000037
TearLab Corp · TEAR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
AWM Investment Company, Inc.
10% Owner
Period of report
Mar 29, 2017
Accepted (ET)
Mar 31, 2017 · 3:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001299139
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 29, 2016 | S | 39,435 | $3.0533 | D | 688,289 | I | By Limited Partnerships |
| Common Stock | Mar 29, 2016 | S | 50,000 | $3.1081 | D | 638,289 | I | By Limited Partnerships |
| Common Stock | Mar 30, 2017 | S | 50,000 | $3.3511 | D | 588,289 | I | By Limited Partnerships |
| Common Stock | Mar 30, 2017 | S | 25,000 | $3.2441 | D | 563,289 | I | By Limited Partnerships |
| Common Stock | Mar 30, 2017 | S | 100,000 | $3.1748 | D | 463,289 | I | By Limited Partnerships |
| Common Stock | Mar 30, 2017 | S | 6,239 | $3.1449 | D | 457,050 | I | By Limited Partnerships |
| Common StockF1,F2 | Mar 30, 2017 | S | 57,000 | $3.2921 | D | 400,505 | I | By Limited Partnerships |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Private Equity Fund, L.P. (PE) and Special Situations Life Sciences Fund L.P. (LS and together with QP, CAYMAN and SSPE Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 122,130 shares of Common Stock of the Issuer (the Shares) held by QP, 43,288 Shares held by CAYMAN, 78,209 Shares held by PE and 156,423 Shares held by LS.
- F2Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.