SEC Form 4 · accession 0001209191-15-009755
Tracon Pharmaceuticals, Inc. · TCON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
CSA Biotechnology Fund I, llc
10% Owner
BROOKLINE TRACON INVESTMENT FUND LLC
10% Owner
CSA Biotechnology Fund II, LLC
10% Owner
Period of report
Feb 4, 2015
Accepted (ET)
Feb 5, 2015 · 3:07 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 StockF1 | Feb 4, 2015 | C | 657,552 | — | A | 657,552 | D | |
| Common Stock | holding | — | — | — | 437,210 | I | By Brookline Tracon Investment Fund, LLC | |
| Common Stock | holding | — | — | — | 49,380 | I | By CSA Biotechnology Fund I, LLC | |
| Common Stock | holding | — | — | — | 93,460 | I | By CSA Biotechnology Fund II, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Redeemable Convertible Preferred StockF1 | — | Feb 4, 2015 | C | 1,610,150 | D | — | — | Common Stock | 416,059 | 0 | D |
| Series B Redeemable Convertible Preferred StockF1 | — | Feb 4, 2015 | C | 934,579 | D | — | — | Common Stock | 241,493 | 0 | D |
Explanation of responses
- 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.