SEC Form 4 · accession 0001209191-15-074445
Tracon Pharmaceuticals, Inc. · TCON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald L Shazer
Officer — Chief Medical Officer
Period of report
Oct 5, 2015
Accepted (ET)
Oct 6, 2015 · 8:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001394319
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $9.91 | Oct 5, 2015 | A | 153,139 | A | — | Oct 4, 2025 | Common Stock | 153,139 | 153,139 | D |
Explanation of responses
- F11/4th of the shares subject to the stock option shall vest on the first anniversary of the Grant Date provided in Column 3 above. Thereafter, all shares shall vest at a rate of 1/48th per month, so that all of the shares subject to the option shall be vested four years after the Grant Date.