4/A//SEC Filing
Puissance Cross-Border Opportunities V LLC 4/A
Accession 0001733439-18-000016
CIK 0001394319other
Filed
Dec 2, 7:00 PM ET
Accepted
Dec 3, 10:14 AM ET
Size
20.1 KB
Accession
0001733439-18-000016
Insider Transaction Report
Form 4/AAmended
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)
Transactions
- Sale
Common Stock
2018-11-29$1.21/sh−4,326$5,234→ 4,601,768 total(indirect: By funds) - Purchase
Common Stock
2018-11-29$1.13/sh+4,326$4,888→ 4,606,094 total(indirect: By funds)
Holdings
- 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) - 4,601,768(indirect: By funds)
Common Stock
Puissance Capital Fund (GP) LLC
10% Owner
Transactions
- Sale
Common Stock
2018-11-29$1.21/sh−4,326$5,234→ 4,601,768 total(indirect: By funds) - Purchase
Common Stock
2018-11-29$1.13/sh+4,326$4,888→ 4,606,094 total(indirect: By funds)
Holdings
- 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) - 4,601,768(indirect: By funds)
Common Stock
Wang Theodore T
10% Owner
Transactions
- Sale
Common Stock
2018-11-29$1.21/sh−4,326$5,234→ 4,601,768 total(indirect: By funds) - Purchase
Common Stock
2018-11-29$1.13/sh+4,326$4,888→ 4,606,094 total(indirect: By funds)
Holdings
- 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) - 4,601,768(indirect: By funds)
Common Stock
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)
Warrants (right to buy)
Exercise: $2.70From: 2018-03-27Exp: 2024-03-27→ Common Stock (4,601,768 underlying) - 4,601,768(indirect: By funds)
Common Stock
Puissance Capital Management LP
10% Owner
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)
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)
Warrants (right to buy)
Exercise: $2.70From: 2018-03-27Exp: 2024-03-27→ Common Stock (4,601,768 underlying) - 4,601,768(indirect: By funds)
Common Stock
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, 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.
- [F4]The purchase and sale of 4,326 shares of Common Stock were under the fund Puissance Life Science Opportunities Fund VI.
Documents
Issuer
Tracon Pharmaceuticals, Inc.
CIK 0001394319
Entity typeother
IncorporatedCayman Islands
Related Parties
1- filerCIK 0001733439
Filing Metadata
- Form type
- 4/A
- Filed
- Dec 2, 7:00 PM ET
- Accepted
- Dec 3, 10:14 AM ET
- Size
- 20.1 KB