0001209191-20-003219.txt : 20200113 0001209191-20-003219.hdr.sgml : 20200113 20200113184829 ACCESSION NUMBER: 0001209191-20-003219 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200109 FILED AS OF DATE: 20200113 DATE AS OF CHANGE: 20200113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Opaleye, L.P. CENTRAL INDEX KEY: 0001391634 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36694 FILM NUMBER: 20524673 BUSINESS ADDRESS: STREET 1: 9B RUSSELL STREET CITY: CAMBRIDGE STATE: MA ZIP: 01240 BUSINESS PHONE: 617-229-5085 MAIL ADDRESS: STREET 1: 9B RUSSELL STREET CITY: CAMBRIDGE STATE: MA ZIP: 01240 FORMER NAME: FORMER CONFORMED NAME: RRC BIO FUND, L. P. DATE OF NAME CHANGE: 20090810 FORMER NAME: FORMER CONFORMED NAME: RRC BIO FUND L P DATE OF NAME CHANGE: 20070228 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ArTara Therapeutics, Inc. CENTRAL INDEX KEY: 0001359931 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 LITTLE WEST 12TH STREET CITY: NEW YORK STATE: NY ZIP: 10014 BUSINESS PHONE: 646-844-0337 MAIL ADDRESS: STREET 1: 1 LITTLE WEST 12TH STREET CITY: NEW YORK STATE: NY ZIP: 10014 FORMER COMPANY: FORMER CONFORMED NAME: PROTEON THERAPEUTICS INC DATE OF NAME CHANGE: 20060420 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-01-09 0 0001359931 ArTara Therapeutics, Inc. TARA 0001391634 Opaleye, L.P. 13 GYPSY TRAIL WESTON MA 02493 0 0 1 0 Common Stock 2020-01-09 4 A 0 777635 A 782238 D Common Stock 2020-01-09 4 A 0 1426234 7.01 A 2208472 D On September 23, 2019, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") as amended on November 19, 2019, with the Issuer, REM 1 Acquisition, Inc. ("Merger Sub") and ArTara Subsidiary, Inc. ("ArTara Sub"). On January 9, 2020 (the "Effective Time"), Merger Sub was merged with and into ArTara Sub, with ArTara Sub surviving as a wholly-owned subsidiary of the Issuer. These shares were received in exchange for: i) 571,428 shares of ArTara Sub common stock; and ii) 3,505,174 shares of ArTara Sub exchangeable common stock, in connection with the merger. /s/ James Silverman, Managing Member of Opaleye GP LLC, General Partner of Reporting Person 2020-01-13