4//SEC Filing
Nantahala Capital Management, LLC 4
Accession 0001104659-24-034986
CIK 0001427925other
Filed
Mar 14, 8:00 PM ET
Accepted
Mar 15, 4:01 PM ET
Size
11.6 KB
Accession
0001104659-24-034986
Insider Transaction Report
Form 4
TALPHERA, INC.TLPH
Harkey Wilmot B.
10% OwnerOther
Transactions
- Exercise of In-Money
Common Stock
2024-03-15$5.00/sh+755,000$3,775,000→ 1,992,519 total(indirect: See footnote) - Exercise of In-Money
Put Option (obligation to buy)
2024-03-15−755,000→ 0 total(indirect: See footnote)Exercise: $5.00From: 2024-03-15Exp: 2024-03-15→ Common Stock (755,000 underlying)
Nantahala Capital Management, LLC
10% OwnerOther
Transactions
- Exercise of In-Money
Common Stock
2024-03-15$5.00/sh+755,000$3,775,000→ 1,992,519 total(indirect: See footnote) - Exercise of In-Money
Put Option (obligation to buy)
2024-03-15−755,000→ 0 total(indirect: See footnote)Exercise: $5.00From: 2024-03-15Exp: 2024-03-15→ Common Stock (755,000 underlying)
Mack Daniel
10% OwnerOther
Transactions
- Exercise of In-Money
Common Stock
2024-03-15$5.00/sh+755,000$3,775,000→ 1,992,519 total(indirect: See footnote) - Exercise of In-Money
Put Option (obligation to buy)
2024-03-15−755,000→ 0 total(indirect: See footnote)Exercise: $5.00From: 2024-03-15Exp: 2024-03-15→ Common Stock (755,000 underlying)
Footnotes (1)
- [F1]Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and held certain derivative securities related thereto (the "Derivatives"), including the put options disclosed in this Form 4, may be deemed or have been deemed a beneficial owner of such securities. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the securities disclosed herein except to the extent of their respective pecuniary interests therein.
Documents
Issuer
TALPHERA, INC.
CIK 0001427925
Entity typeother
IncorporatedMA
Related Parties
1- filerCIK 0001472322
Filing Metadata
- Form type
- 4
- Filed
- Mar 14, 8:00 PM ET
- Accepted
- Mar 15, 4:01 PM ET
- Size
- 11.6 KB