0001209191-18-021749.txt : 20180327
0001209191-18-021749.hdr.sgml : 20180327
20180327165101
ACCESSION NUMBER: 0001209191-18-021749
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180327
FILED AS OF DATE: 20180327
DATE AS OF CHANGE: 20180327
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BARRIS PETER J
CENTRAL INDEX KEY: 0001005561
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 18716003
MAIL ADDRESS:
STREET 1: 1119 ST PAUL STREET
CITY: BALTIMORE
STATE: MD
ZIP: 21202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NEA 14 GP, LTD
CENTRAL INDEX KEY: 0001551532
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 18716001
BUSINESS ADDRESS:
STREET 1: 1954 GREENSPRING DRIVE
STREET 2: SUITE 600
CITY: TIMONIUM
STATE: MD
ZIP: 21093
BUSINESS PHONE: 410-842-4000
MAIL ADDRESS:
STREET 1: 1954 GREENSPRING DRIVE
STREET 2: SUITE 600
CITY: TIMONIUM
STATE: MD
ZIP: 21093
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NEA Partners 14, L.P.
CENTRAL INDEX KEY: 0001551531
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 18716002
BUSINESS ADDRESS:
STREET 1: 1954 GREENSPRING DRIVE
STREET 2: SUITE 600
CITY: TIMONIUM
STATE: MD
ZIP: 21093
BUSINESS PHONE: 410-842-4000
MAIL ADDRESS:
STREET 1: 1954 GREENSPRING DRIVE
STREET 2: SUITE 600
CITY: TIMONIUM
STATE: MD
ZIP: 21093
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Tracon Pharmaceuticals, Inc.
CENTRAL INDEX KEY: 0001394319
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4350 LA JOLLA VILLAGE DRIVE
STREET 2: SUITE 800
CITY: San Diego
STATE: CA
ZIP: 92122
BUSINESS PHONE: 858-550-0780
MAIL ADDRESS:
STREET 1: 4350 LA JOLLA VILLAGE DRIVE
STREET 2: SUITE 800
CITY: San Diego
STATE: CA
ZIP: 92122
FORMER COMPANY:
FORMER CONFORMED NAME: Tracon Pharmaceuticals Inc
DATE OF NAME CHANGE: 20070324
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-03-27
0
0001394319
Tracon Pharmaceuticals, Inc.
TCON
0001005561
BARRIS PETER J
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM
MD
21093
0
0
1
0
0001551531
NEA Partners 14, L.P.
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM
MD
21093
0
0
1
0
0001551532
NEA 14 GP, LTD
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM
MD
21093
0
0
1
0
Common Stock
2018-03-27
4
P
0
707964
2.70
A
3466003
I
See Note 2
Warrant to Purchase Common Stock
2.70
2018-03-27
4
P
0
707964
0.125
A
2018-03-27
2024-03-27
Common Stock
707964
707964
I
See Note 2
Acquired from the issuer pursuant to a Securities Purchase Agreement dated March 22, 2018, with a closing date of March 27, 2018.
The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.
/s/ Sasha Keough, attorney-in-fact
2018-03-27