SEC Form 4 · accession 0001209191-15-071924
Tracon Pharmaceuticals, Inc. · TCON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
H Casey Logan
Officer — Chief Business Officer
Period of report
Sep 18, 2015
Accepted (ET)
Sep 22, 2015 · 7:30 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 Stock | Sep 18, 2015 | M | 5,000 | $1.34 | A | 5,000 | D | |
| Common Stock | Sep 18, 2015 | S | 5,000 | $17.34 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $1.34 | Sep 18, 2015 | M | 5,000 | D | — | Mar 13, 2023 | Common Stock | 5,000 | 80,270 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2015
- F21/4 of the shares subject to the option vested on February 19, 2014, and the remaining shares vest in 36 equal monthly installments thereafter.