0001493152-21-031568.txt : 20211215 0001493152-21-031568.hdr.sgml : 20211215 20211215160534 ACCESSION NUMBER: 0001493152-21-031568 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211201 FILED AS OF DATE: 20211215 DATE AS OF CHANGE: 20211215 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: 211494261 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 2021-12-01 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 2021-12-13 4 P 0 14000 2.641 A 2462371 I By Opaleye, L.P. Common Stock, par value $0.001 per share 2021-12-13 4 P 0 1204 2.641 A 243711 I By Managed Account Common Stock, par value $0.001 per share 2021-12-14 4 P 0 35000 2.532 A 2497371 I By Opaleye, L.P. Common Stock, par value $0.001 per share 2021-12-14 4 P 0 7000 2.532 A 250711 I By Managed Account. Prefunded Warrants 0.01 2020-08-27 2027-08-27 Common stock 1889513 1889513 I By Opaleye, L.P. Prefunded Warrants 0.01 2020-08-31 2020-08-31 Common Stock 1358593 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 $2.641. The range of purchase prices on the transaction date was $2.63-$2.65 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 common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.532. The range of purchase prices on the transaction date was $2.45 to $2.57 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. 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. /s/ James Silverman 2021-12-15