0001733439-18-000016.txt : 20181203
0001733439-18-000016.hdr.sgml : 20181203
20181203101433
ACCESSION NUMBER: 0001733439-18-000016
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181129
FILED AS OF DATE: 20181203
DATE AS OF CHANGE: 20181203
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Puissance Cross-Border Opportunities V LLC
CENTRAL INDEX KEY: 0001733439
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 181213058
BUSINESS ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 25TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2128783702
MAIL ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 25TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Puissance Cross-Border Opportunities IV LLC
CENTRAL INDEX KEY: 0001718140
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 181213059
BUSINESS ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 25TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2128783702
MAIL ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 25TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Puissance Life Science Opportunities Fund VI
CENTRAL INDEX KEY: 0001760460
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 181213060
BUSINESS ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: FL 25
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2128783702
MAIL ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: FL 25
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Puissance Capital Management LP
CENTRAL INDEX KEY: 0001658437
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 181213061
BUSINESS ADDRESS:
STREET 1: 950 THIRD AVENUE, 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-878-3700
MAIL ADDRESS:
STREET 1: 950 THIRD AVENUE, 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Puissance Capital Management (GP) LLC
CENTRAL INDEX KEY: 0001695339
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 181213062
BUSINESS ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-878-3700
MAIL ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Puissance Capital Fund (GP) LLC
CENTRAL INDEX KEY: 0001695347
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 181213063
BUSINESS ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-878-3700
MAIL ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wang Theodore T
CENTRAL INDEX KEY: 0001694061
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36818
FILM NUMBER: 181213064
MAIL ADDRESS:
STREET 1: C/O PUISSANCE CAPITAL MANAGEMENT LP
STREET 2: 950 THIRD AVENUE, 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
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/A
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4/A
2018-11-29
2018-12-03
0
0001394319
Tracon Pharmaceuticals, Inc.
TCON
0001733439
Puissance Cross-Border Opportunities V LLC
950 THIRD AVENUE
25TH FL
NEW YORK
NY
10022
0
0
1
0
0001718140
Puissance Cross-Border Opportunities IV LLC
950 THIRD AVENUE
25TH FL
NEW YORK
NY
10022
0
0
1
0
0001760460
Puissance Life Science Opportunities Fund VI
950 THIRD AVENUE
FL 25
NEW YORK
NY
10022
0
0
1
0
0001658437
Puissance Capital Management LP
950 THIRD AVENUE, 25TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001695339
Puissance Capital Management (GP) LLC
950 THIRD AVENUE
25TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001695347
Puissance Capital Fund (GP) LLC
950 THIRD AVENUE
25TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001694061
Wang Theodore T
C/O PUISSANCE CAPITAL MANAGEMENT LP
950 THIRD AVENUE, 25TH FLOOR
NEW YORK
NY
10022
1
0
1
0
Common Stock
2018-11-29
4
P
0
4326
1.13
A
4606094
I
By funds
Common Stock
2018-11-29
4
S
0
4326
1.21
D
4601768
I
By funds
Common Stock
4601768
I
By funds
Warrants (right to buy)
2.7
2018-03-27
2024-03-27
Common Stock
4601768
4601768
I
By funds
Consists of: 2,831,857 Shares directly owned by Puissance Cross-Border Opportunities V LLC; 1,769,911 Shares directly owned Puissance Cross-Border Opportunities IV LLC.
Consists of: 2,831,857 Warrants directly owned by Puissance Cross-Border Opportunities V LLC; 1,769,911 Warrants directly owned Puissance Cross-Border Opportunities IV LLC.
Puissance Capital Fund (GP) LLC serves as the managing member of Puissance Cross-Border Opportunities V LLC, Puissance Life Science Opportunities Fund VI and Puissance Cross-Border Opportunities IV LLC and may be deemed to beneficially own these shares. Puissance Capital Management LP serves as the investment manager of Puissance Cross-Border Opportunities V LLC, Puissance Life Science Opportunities Fund VI and Puissance Cross-Border Opportunities IV LLC and may be deemed to beneficially own these shares. Puissance Capital Management (GP) LLC serves as the general partner to Puissance Capital Management LP and may be deemed to beneficially own these shares. Theodore T. Wang serves as the managing member of Puissance Capital Fund (GP) LLC and Puissance Capital Management (GP) LLC and may be deemed to beneficially own these shares.
The purchase and sale of 4,326 shares of Common Stock were under the fund Puissance Life Science Opportunities Fund VI.
Theodore T. Wang
2018-12-03
Puissance Cross-Border Opportunities V LLC, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang
2018-12-03
Puissance Cross-Border Opportunities IV LLC, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang
2018-12-03
Puissance Life Science Opportunities Fund VI, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang
2018-12-03
Puissance Capital Fund (GP) LLC, By: Theodore T. Wang, Managing Member
2018-12-03
Puissance Capital Management LP, By: Puissance Capital Management (GP) LLC, its general partner, By: Theodore T. Wang, Managing Member
2018-12-03
Puissance Capital Management (GP) LLC, By: Theodore Wang, Managing Member
2018-12-03