Opaleye Management Inc.'s Form 4 filing
Tracon Pharmaceuticals, Inc. (TCON) · filed Dec 8, 2022
- Accession no.
- 0001493152-22-034965
- Filed
- Dec 8, 2022, 6:49 PM ET
- Trade date
- Dec 6, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.22K. 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 6, 2022 | Common Stock, par value $0.01 per share | XIn-the-money exerciseAcquired | +221,539 | $0.01 | +$2,215.39 | 4,011,539 | Indirect | |
| Dec 6, 2022 | Common Stock, par value $0.01 per share | SSaleDisposed | −1,539 | $1.44 | −$2,216.16 | 4,010,000 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 6, 2022 | Common Stock | XIn-the-money exerciseDisposed | −221,539 | $0.01 | −$2,215.39 | 1,667,974 | 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.
No transaction price on this filing refers to a footnote.