SEC Form 4 · accession 0001209191-16-125314
Tracon Pharmaceuticals, Inc. · TCON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Rainer Twiford
Director
Period of report
Jun 1, 2016
Accepted (ET)
Jun 2, 2016 · 7:10 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 | Jun 1, 2016 | A | 7,500 | $0.00 | A | 7,500 | D | |
| Common StockF2 | holding | — | — | — | 10,572 | I | By Brookline Tracon Investment Fund, LLC | |
| Common StockF3 | holding | — | — | — | 17,962 | I | By MCT Investments, LLC | |
| Common StockF2 | holding | — | — | — | 49,380 | I | By CSA Biotechnology Fund I, LLC | |
| Common StockF2 | holding | — | — | — | 93,460 | I | By CSA Biotechnology Fund II, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2015 Equity Incentive Plan. The RSUs will vest in full on the earlier of the one-year anniversary of the date of grant, or the date of the next annual meeting of the Company's stockholders.
- F2The Reporting Person has voting and dispositive power over these shares and disclaims beneficial ownership except to the extent of his pecuniary interest therein.
- F3The reporting person's spouse has voting and investment power with respect to the shares held by MCT Investments, LLC.