4/A//SEC Filing
Ikarian Capital, LLC 4/A
Accession 0000899243-20-025618
CIK 0001394319other
Filed
Sep 16, 8:00 PM ET
Accepted
Sep 17, 9:22 PM ET
Size
21.5 KB
Accession
0000899243-20-025618
Insider Transaction Report
Form 4/AAmended
Ikarian Healthcare Master Fund, L.P.
10% OwnerOther
Transactions
- Purchase
Common Stock, par value $0.001 per share
2020-09-08$2.90/sh+13,244$38,408→ 2,004,933 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-04$2.87/sh+151,611$434,502→ 1,991,689 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-09$3.49/sh+79,415$277,460→ 2,084,348 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-11$3.93/sh+78,201$307,017→ 2,162,549 total(indirect: See Footnotes)
Shahrestani Neil
10% OwnerOther
Transactions
- Purchase
Common Stock, par value $0.001 per share
2020-09-09$3.49/sh+79,415$277,460→ 2,084,348 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-08$2.90/sh+13,244$38,408→ 2,004,933 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-11$3.93/sh+78,201$307,017→ 2,162,549 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-04$2.87/sh+151,611$434,502→ 1,991,689 total(indirect: See Footnotes)
Ikarian Capital, LLC
10% OwnerOther
Transactions
- Purchase
Common Stock, par value $0.001 per share
2020-09-08$2.90/sh+13,244$38,408→ 2,004,933 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-09$3.49/sh+79,415$277,460→ 2,084,348 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-04$2.87/sh+151,611$434,502→ 1,991,689 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-11$3.93/sh+78,201$307,017→ 2,162,549 total(indirect: See Footnotes)
Ikarian Healthcare Fund GP, L.P.
10% OwnerOther
Transactions
- Purchase
Common Stock, par value $0.001 per share
2020-09-04$2.87/sh+151,611$434,502→ 1,991,689 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-11$3.93/sh+78,201$307,017→ 2,162,549 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-08$2.90/sh+13,244$38,408→ 2,004,933 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-09$3.49/sh+79,415$277,460→ 2,084,348 total(indirect: See Footnotes)
Chart Westcott Living Trust
10% OwnerOther
Transactions
- Purchase
Common Stock, par value $0.001 per share
2020-09-04$2.87/sh+151,611$434,502→ 1,991,689 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-09$3.49/sh+79,415$277,460→ 2,084,348 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-08$2.90/sh+13,244$38,408→ 2,004,933 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-09-11$3.93/sh+78,201$307,017→ 2,162,549 total(indirect: See Footnotes)
Footnotes (5)
- [F1]This price represents the approximate weighted average price per Share of purchases that were executed at prices ranging from $2.7981 to $2.9986 per Share. The Reporting Persons undertake to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the price per Share and the number of Shares purchased at each price.
- [F2]This statement is jointly filed by and on behalf of each of the Reporting Persons. Ikarian Capital is the investment manager of, and may be deemed to indirectly beneficially own securities owned by, the Fund. Ikarian GP is the general partner of, and may be deemed to indirectly beneficially own securities owned by, the Fund. Ikarian Capital is also the general partner of, and may be deemed to indirectly beneficially own, securities beneficially owned by Ikarian GP.
- [F3]Ikarian Capital is a sub-advisor for certain separate managed accounts (collectively, the "Managed Accounts") and may be deemed to indirectly beneficially own securities owned by the Managed Accounts. Ikarian Capital is ultimately owned and controlled by the Trust, and indirectly by Mr. Shahrestani. Accordingly, each of Mr. Westcott, as sole trustee of the Trust, and Mr. Shahrestani may be deemed to indirectly beneficially own securities beneficially owned by, Ikarian Capital. The Fund and the Managed Accounts are the record and direct beneficial owners of the securities covered by this statement. The Fund disclaims beneficial ownership of the shares held by the Managed Accounts.
- [F4]The Reporting Persons state that neither the filing of this statement nor anything herein shall be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, the beneficial owners of any securities covered by this statement. The Reporting Persons disclaim beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of the Reporting Persons in such securities.
- [F5]The Reporting Persons may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Exchange Act. The Reporting Persons declare that neither the filing of this statement nor anything herein shall be construed as an admission that such persons are, for the purposes of Section 13(d) or 13(g) of the Exchange Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer.
Documents
Issuer
Tracon Pharmaceuticals, Inc.
CIK 0001394319
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001778253
Filing Metadata
- Form type
- 4/A
- Filed
- Sep 16, 8:00 PM ET
- Accepted
- Sep 17, 9:22 PM ET
- Size
- 21.5 KB