SEC Form 4/A · accession 0001733439-18-000016
Tracon Pharmaceuticals, Inc. · TCON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
Puissance Capital Management LP
10% Owner
Theodore T Wang
Director · 10% Owner
Puissance Capital Fund (GP) LLC
10% Owner
Period of report
Nov 29, 2018
Accepted (ET)
Dec 3, 2018 · 10:14 am 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 StockF4 | Nov 29, 2018 | P | 4,326 | $1.13 | A | 4,606,094 | I | By funds |
| Common StockF4 | Nov 29, 2018 | S | 4,326 | $1.21 | D | 4,601,768 | I | By funds |
| Common StockF1 | holding | — | — | — | 4,601,768 | I | By funds |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (right to buy)F2,F3 | $2.70 | holding | — | — | — | Mar 27, 2018 | Mar 27, 2024 | Common Stock | 4,601,768 | 4,601,768 | I |
Explanation of responses
- F1Consists of: 2,831,857 Shares directly owned by Puissance Cross-Border Opportunities V LLC; 1,769,911 Shares directly owned Puissance Cross-Border Opportunities IV LLC.
- F2Consists of: 2,831,857 Warrants directly owned by Puissance Cross-Border Opportunities V LLC; 1,769,911 Warrants directly owned Puissance Cross-Border Opportunities IV LLC.
- F3Puissance Capital Fund (GP) LLC serves as the managing member of Puissance Cross-Border Opportunities V LLC, Puissance Life Science Opportunities Fund VI and Puissance Cross-Border Opportunities IV LLC and may be deemed to beneficially own these shares. Puissance Capital Management LP serves as the investment manager of Puissance Cross-Border Opportunities V LLC, Puissance Life Science Opportunities Fund VI and Puissance Cross-Border Opportunities IV LLC and may be deemed to beneficially own these shares. Puissance Capital Management (GP) LLC serves as the general partner to Puissance Capital Management LP and may be deemed to beneficially own these shares. Theodore T. Wang serves as the managing member of Puissance Capital Fund (GP) LLC and Puissance Capital Management (GP) LLC and may be deemed to beneficially own these shares.
- F4The purchase and sale of 4,326 shares of Common Stock were under the fund Puissance Life Science Opportunities Fund VI.