4//SEC Filing
Ikarian Capital, LLC 4
Accession 0000899243-20-030865
CIK 0001394319other
Filed
Nov 11, 7:00 PM ET
Accepted
Nov 12, 6:18 PM ET
Size
18.5 KB
Accession
0000899243-20-030865
Insider Transaction Report
Form 4
Ikarian Capital, LLC
10% OwnerOther
Transactions
- Purchase
Common Stock, par value $0.001 per share
2020-10-29$4.77/sh+7,700$36,734→ 2,170,249 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-10-30$4.64/sh+21,300$98,907→ 2,191,549 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-11-11$7.53/sh+5,000$37,629→ 2,196,549 total(indirect: See Footnotes)
Ikarian Healthcare Master Fund, L.P.
10% OwnerOther
Transactions
- Purchase
Common Stock, par value $0.001 per share
2020-10-29$4.77/sh+7,700$36,734→ 2,170,249 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-11-11$7.53/sh+5,000$37,629→ 2,196,549 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-10-30$4.64/sh+21,300$98,907→ 2,191,549 total(indirect: See Footnotes)
Ikarian Healthcare Fund GP, L.P.
10% OwnerOther
Transactions
- Purchase
Common Stock, par value $0.001 per share
2020-10-29$4.77/sh+7,700$36,734→ 2,170,249 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-10-30$4.64/sh+21,300$98,907→ 2,191,549 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-11-11$7.53/sh+5,000$37,629→ 2,196,549 total(indirect: See Footnotes)
Shahrestani Neil
10% OwnerOther
Transactions
- Purchase
Common Stock, par value $0.001 per share
2020-11-11$7.53/sh+5,000$37,629→ 2,196,549 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-10-29$4.77/sh+7,700$36,734→ 2,170,249 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-10-30$4.64/sh+21,300$98,907→ 2,191,549 total(indirect: See Footnotes)
Chart Westcott Living Trust
10% OwnerOther
Transactions
- Purchase
Common Stock, par value $0.001 per share
2020-10-30$4.64/sh+21,300$98,907→ 2,191,549 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-10-29$4.77/sh+7,700$36,734→ 2,170,249 total(indirect: See Footnotes) - Purchase
Common Stock, par value $0.001 per share
2020-11-11$7.53/sh+5,000$37,629→ 2,196,549 total(indirect: See Footnotes)
Footnotes (4)
- [F1]This statement is jointly filed by and on behalf of each of Ikarian Capital, LLC, a Delaware limited liability company ("Ikarian Capital"), Ikarian Healthcare Master Fund, L.P, a Cayman Islands exempted limited partnership (the "Fund"), Ikarian Healthcare Fund GP, L.P., a Delaware limited partnership ("Ikarian GP"), Chart Westcott and Neil Shahrestani (collectively referred herein as 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.
- [F2]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 Chart Westcott Living Trust, of which Mr. Westcott serves as the sole trustee (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.
- [F3]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.
- [F4]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
- Filed
- Nov 11, 7:00 PM ET
- Accepted
- Nov 12, 6:18 PM ET
- Size
- 18.5 KB