SEC Form 4 · accession 0001209191-15-070020
Tracon Pharmaceuticals, Inc. · TCON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Sep 4, 2015
Accepted (ET)
Sep 9, 2015 · 7:56 pm EDT
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 | Sep 4, 2015 | S | 6,600 | $10.4791 | D | 1,733,452 | D | |
| Common StockF2 | Sep 8, 2015 | S | 5,700 | $10.4744 | D | 1,727,752 | D | |
| Common StockF3 | Sep 9, 2015 | S | 12,000 | $10.7119 | D | 1,715,752 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple sales through a sale order executed by a broker-dealer at prices ranging from $10.31 to $10.605. The price reported in this column reflects the weighted average sale price. The Reporting Person will provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F2This transaction was executed in multiple sales through a sale order executed by a broker-dealer at prices ranging from $10.40 to $10.615. The price reported in this column reflects the weighted average sale price. The Reporting Person will provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3This transaction was executed in multiple sales through a sale order executed by a broker-dealer at prices ranging from $10.40 to $11.00. The price reported in this column reflects the weighted average sale price. The Reporting Person will provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.