SEC Form 4 · accession 0001209191-15-070597
Tracon Pharmaceuticals, Inc. · TCON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Sep 10, 2015
Accepted (ET)
Sep 14, 2015 · 7:55 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 10, 2015 | S | 12,100 | $11.24 | D | 1,703,652 | D | |
| Common StockF2 | Sep 10, 2015 | S | 6,500 | $11.94 | D | 1,697,152 | D | |
| Common StockF3 | Sep 11, 2015 | S | 19,438 | $11.96 | D | 1,677,714 | D | |
| Common StockF4 | Sep 14, 2015 | S | 22,000 | $11.86 | D | 1,655,714 | 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 $10.80 to $11.79. 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 $11.80 to $12.04. 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 $11.83 to $12.07. 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.
- F4This transaction was executed in multiple sales through a sale order executed by a broker-dealer at prices ranging from $11.40 to $12.10. 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.