Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | TCON | Common Stock, par value $0.001 per share | Sale | -$1.27M | -4.32M | -100% | $0.29 | 0 | Nov 10, 2023 | By Opaleye, L.P. | F1, F3 |
transaction | TCON | Common Stock, par value $0.001 per share | Sale | -$129K | -440K | -100% | $0.29 | 0 | Nov 10, 2023 | By Managed account | F2, F3 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
holding | TCON | Prefunded Warrants | 1.67M | Nov 10, 2023 | Common Stock | 1.67M | $0.01 | By Opaleye,L.P. | F1, F4 | |||||
holding | TCON | Prefunded Warrants | 1.36M | Nov 10, 2023 | Common Stock | 1.36M | $0.01 | By Opaleye,L.P. | F1, F4 | |||||
holding | TCON | Prefunded Warrants | 2.21M | Nov 10, 2023 | Common Stock | 2.21M | $0.01 | By Opaleye, L.P. | F1, F4 | |||||
holding | TCON | Prefunded Warrants | 2.01M | Nov 10, 2023 | Common Stock | 2.01M | $0.01 | By Opaleye, L.P. | F1, F4 |
Opaleye Management Inc. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
Id | Content |
---|---|
F1 | Represents securities owned directly by Opaleye, L.P. (The "Fund"). As the investment manager of the Fund. |
F2 | Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to own the securities owned directly by the Managed Account beneficially. |
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. |
F4 | 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. |