0001493152-20-019905.txt : 20201023
0001493152-20-019905.hdr.sgml : 20201023
20201023213009
ACCESSION NUMBER: 0001493152-20-019905
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201021
FILED AS OF DATE: 20201023
DATE AS OF CHANGE: 20201023
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Opaleye Management Inc.
CENTRAL INDEX KEY: 0001595855
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 201258905
BUSINESS ADDRESS:
STREET 1: ONE BOSTON PLACE
STREET 2: SUITE 2600
CITY: BOSTON
STATE: MA
ZIP: 02108
BUSINESS PHONE: 617-904-9195
MAIL ADDRESS:
STREET 1: ONE BOSTON PLACE
STREET 2: SUITE 2600
CITY: BOSTON
STATE: MA
ZIP: 02108
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
ownership.xml
X0306
4
2020-10-21
0
0001394319
Tracon Pharmaceuticals, Inc.
TCON
0001595855
Opaleye Management Inc.
ONE BOSTON PLACE, 26TH FLOOR
BOSTON
MA
02108
0
0
1
0
Common Stock, par value $0.001 per share
2020-10-21
4
P
0
3000
4.3969
A
225000
I
By Managed Account
Common Stock, par value $0.001 per share
2020-10-21
4
P
0
5656
4.3969
A
1797094
I
By Opaleye, L.P.
Pre-funded warrant
0.01
2020-08-27
2027-08-27
Common Stock
1889513
1889513
I
By Opaleye, L.P.
Pre-funded warrant
0.01
2020-08-31
2027-08-31
Common Stock
1358993
1358993
I
By Opaleye, L.P.
The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.3969. The range of purchase prices on the transaction date was $4.36 to $4.40 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.
Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.
The warrants may not be exercised to the extent that such exercise would cause the reporting person and its affiliates to beneficially own more than 9.99% of the Issuer's then outstanding common stock.
Opaleye Management Inc., By: /s/ James Silverman, President
2020-10-23