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Share Name | Share Symbol | Market | Type |
---|---|---|---|
TRACON Pharmaceuticals Inc | NASDAQ:TCON | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.01 | 0.55% | 1.82 | 1.78 | 1.84 | 1.84 | 1.74 | 1.83 | 90,880 | 23:51:49 |
1. Name and Address of Reporting Person * Ikarian Capital, LLC | 2. Issuer Name and Ticker or Trading Symbol Tracon Pharmaceuticals, Inc. [ TCON ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Member of 10% Group |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.001 per share | 10/29/2020 | P | 7700 | A | $4.7706 | 2170249 | I | See Footnotes (1)(2)(3)(4) | ||
Common Stock, par value $0.001 per share | 10/30/2020 | P | 21300 | A | $4.6435 | 2191549 | I | See Footnotes (1)(2)(3)(4) | ||
Common Stock, par value $0.001 per share | 11/11/2020 | P | 5000 | A | $7.5258 | 2196549 | I | See Footnotes (1)(2)(3)(4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
Ikarian Capital, LLC 100 CRESCENT COURT, SUITE 1620 DALLAS, TX 75201 | X | Member of 10% Group | |||
Ikarian Healthcare Master Fund, L.P. 100 CRESCENT COURT, SUITE 1620 DALLAS, TX 75201 | X | Member of 10% Group | |||
Ikarian Healthcare Fund GP, L.P. 100 CRESCENT COURT, SUITE 1620 DALLAS, TX 75201 | X | Member of 10% Group | |||
Chart Westcott Living Trust 100 CRESCENT COURT, SUITE 1620 DALLAS, TX 75201 | X | Member of 10% Group | |||
Shahrestani Neil 100 CRESCENT COURT, SUITE 1620 DALLAS, TX 75201 | X | Member of 10% Group |
Signatures | ||
IKARIAN CAPITAL, LLC, By: Chart Westcott Living Trust, Its: Manager, By: /s/ Chart Westcott, Chart Westcott, Trustee | 11/12/2020 | |
**Signature of Reporting Person | Date | |
IKARIAN HEALTHCARE MASTER FUND, L.P., By: Ikarian Healthcare Fund GP, L.P., Its: General Partner, By: Ikarian Capital, LLC, Its: General Partner, By: Chart Westcott Living Trust, Its: Manager, By: /s/ Chart Westcott, Chart Westcott, Trustee | 11/12/2020 | |
**Signature of Reporting Person | Date | |
IKARIAN HEALTHCARE FUND GP, L.P., By: Ikarian Capital, LLC, Its: General Partner, By: Chart Westcott Living Trust, Its: Manager, By: /s/ Chart Westcott, Chart Westcott, Trustee | 11/12/2020 | |
**Signature of Reporting Person | Date | |
CHART WESTCOTT LIVING TRUST, By: /s/ Chart Westcott, Chart Westcott, Trustee | 11/12/2020 | |
**Signature of Reporting Person | Date | |
NEIL SHAHRESTANI, /s/ Neil Shahrestani | 11/12/2020 | |
**Signature of Reporting Person | Date |
1 Year TRACON Pharmaceuticals Chart |
1 Month TRACON Pharmaceuticals Chart |
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