Opaleye Management Inc. - 09 Mar 2023 Form 4 Insider Report for Tracon Pharmaceuticals, Inc.

Role
10%+ Owner
Signature
Opaleye Management Inc., By: /s/ James Silverman, President
Issuer symbol
N/A
Transactions as of
09 Mar 2023
Net transactions value
+$240,821
Form type
4
Filing time
13 Mar 2023, 16:05:27 UTC
Previous filing
30 Dec 2022
Next filing
20 Apr 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TCON Common Stock, par value $0.001 per share Purchase $240,821 +174,508 +4.2% $1.38 4,324,508 09 Mar 2023 By Opaleye, L.P. F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding TCON Prefunded Warrants 1,667,974 09 Mar 2023 Common Stock 1,667,974 $0.0100 By Opaleye,L.P. F1, F2
holding TCON Prefunded Warrants 1,358,993 09 Mar 2023 Common Stock 1,358,993 $0.0100 By Opaleye,L.P. F1, F2
holding TCON Prefunded Warrants 2,205,018 09 Mar 2023 Common Stock 2,205,018 $0.0100 By Opaleye, L.P. F1, F2
holding TCON Prefunded Warrants 2,013,999 09 Mar 2023 Common Stock 2,013,999 $0.0100 By Opaleye, L.P. F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Opaleye Management Inc. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.
F2 The warrants may not be exercised to the extent that such exercise would cause the reporting person and its affiliates to beneficially own more than 19.99% of the Issuer's then outstanding common stock.