SEC Form 4 · accession 0001209191-15-009756
Tracon Pharmaceuticals, Inc. · TCON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting 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 | 1,559,720 | — | A | 1,559,720 | D |
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 | 5,000,000 | D | — | — | Common Stock | 1,291,989 | 0 | D |
| Series B Redeemable Convertible Preferred StockF1 | — | Feb 4, 2015 | C | 1,036,120 | D | — | — | Common Stock | 267,731 | 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.