SEC Form 4 · accession 0001209191-17-005418
Tracon Pharmaceuticals, Inc. · TCON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Theuer
Officer — President and CEO · Director
Period of report
Jan 20, 2017
Accepted (ET)
Jan 24, 2017 · 7:27 pm EST
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 StockF2 | Jan 23, 2016 | F | 9,870 | $4.85 | D | 86,145 | 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)F3 | $5.15 | Jan 20, 2017 | A | 190,000 | A | — | Jan 19, 2027 | Common Stock | 190,000 | 190,000 | D |
Explanation of responses
- F1Shares withheld to satisfy the Reporting Person's tax obligation in connection with the vesting of restricted stock units.
- F2Includes 2,615 shares acquired under the 2015 Employee Stock Purchase Plan on April 20, 2016.
- F31/4th of the shares subject to this option shall vest on the first anniversary of the Grant Date shown in column 3 above. The remaining shares vest and become exercisable in 36 equal monthly installments thereafter, on the last day of each month.