Opaleye Management Inc.'s Form 4 filing
Tracon Pharmaceuticals, Inc. (TCON) · filed Nov 14, 2023
- Accession no.
- 0001493152-23-041038
- Filed
- Nov 14, 2023, 4:05 PM ET
- Trade date
- Nov 10, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions. Open-market sales total $1.40M. It was filed 4 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2023 | Common Stock, par value $0.001 per share | SSaleDisposed | −4,324,008 | $0.2942F3 | −$1,272,123.15 | 0 | Indirect | |
| Nov 10, 2023 | Common Stock, par value $0.001 per share | SSaleDisposed | −440,000 | $0.2942 | −$129,448 | 0 | 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
This transaction was executed in multiple trades at prices ranging from $0.21 to $0.375; the price reported above reflects the weighted average purchase price. 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.
Referenced by the price of 1 transaction in Table I.