SEC Form 4 · accession 0001209191-15-009754

Tracon Pharmaceuticals, Inc. · TCON

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Feb 4, 2015

Accepted (ET)

Feb 5, 2015 · 3:06 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001394319

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Feb 4, 2015	C	657,552	—	A	657,552	I	By Brookline Tracon Investment Fund II, LLC
Common Stock^F3	holding	—	—		—	10,029	I	By MCT Investments, LLC
Common Stock^F2	holding	—	—		—	437,210	I	By Brookline Tracon Investment Fund, LLC
Common Stock^F2	holding	—	—		—	49,380	I	By CSA Biotechnology Fund I, LLC
Common Stock^F2	holding	—	—		—	93,460	I	By CSA Biotechnology Fund II, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Redeemable Convertible Preferred Stock^F2,F1	—	Feb 4, 2015	C	1,610,150	D	—	—	Common Stock	416,059	0	I
Series B Redeemable Convertible Preferred Stock^F2,F1	—	Feb 4, 2015	C	934,579	D	—	—	Common Stock	241,493	0	I

F1In connection with the Issuer's initial public offering, the preferred stock automatically converted into shares of the Issuer's common stock at the rate of 1 share of common stock for each 3.87 shares of preferred stock. The preferred stock had no expiration date.
F2The Reporting Person has voting and dispositive power over these shares and disclaims beneficial ownership except to the extent of his pecuniary interest therein.
F3The reporting person's spouse has voting and investment power with respect to the shares held by MCT Investments, LLC.