Opaleye Management Inc.'s Form 4 filing
Tracon Pharmaceuticals, Inc. (TCON) · filed Dec 29, 2021
- Accession no.
- 0001493152-21-032688
- Filed
- Dec 29, 2021
- Trade date
- Dec 27-28, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market purchases total $307.9K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Opaleye Management Inc.CIK 0001595855 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 27, 2021 | Common Stock, par value $0.001 per share | PPurchaseAcquired | +75,000 | $2.92F3 | +$219,000 | 2,592,371 | Indirect | |
| Dec 27, 2021 | Common Stock, par value $0.001 per share | PPurchaseAcquired | +12,325 | $2.92F3 | +$35,989 | 265,000 | Indirect | |
| Dec 28, 2021 | Common Stock, par value $0.001 per share | PPurchaseAcquired | +125.3 | $2.63F4 | +$329.54 | 2,717,675 | Indirect | |
| Dec 28, 2021 | Common Stock, par value $0.001 per share | PPurchaseAcquired | +20,000 | $2.63F4 | +$52,600 | 285,000 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.9213. The range of purchase prices on the transaction date was $2.86 to $2.99 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
Referenced by the price of 2 transactions in Table I.
- F4
The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.631. The range of purchase prices on the transaction date was $2.49 to $2.83 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
Referenced by the price of 2 transactions in Table I.