Puissance Capital Management (GP) LLC 4
4 · Tracon Pharmaceuticals, Inc. · Filed Dec 3, 2018
Insider Transaction Report
Form 4
Transactions
- Purchase
Common Stock
2018-11-29$1.13/sh+4,326$4,888→ 4,606,094 total(indirect: By funds) - Sale
Common Stock
2018-11-29$1.21/sh+4,326$5,234→ 4,601,768 total(indirect: By funds)
Holdings
- 4,601,768(indirect: By funds)
Common Stock
- 4,601,768(indirect: By funds)
Warrants (right to buy)
Exercise: $2.70From: 2018-03-27Exp: 2024-03-27→ Common Stock (4,601,768 underlying)
Footnotes (4)
- [F1]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.
- [F2]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.
- [F3]Puissance Capital Fund (GP) LLC serves as the managing member of Puissance Cross-Border Opportunities V LLC 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 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.
- [F4]The purchase and sale of 4,326 shares of Common Stock were under the fund Puissance Life Science Opportunities Fund VI.