ALIMERA SCIENCES, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2023. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-08-15: Reporting owner Morgan Adam | Velan Capital Investment Management LP | Velan Capital SPV I LLC | Velan Capital Master Fund LP | VENKATARAMAN BALAJI | Velan Capital Holdings LLC | Velan Capital Management LLC; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2023-08-15: Reporting owner Morgan Adam | Velan Capital Investment Management LP | Velan Capital SPV I LLC | Velan Capital Master Fund LP | VENKATARAMAN BALAJI | Velan Capital Holdings LLC | Velan Capital Management LLC; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2023-08-15: Reporting owner Morgan Adam | Velan Capital Investment Management LP | Velan Capital SPV I LLC | Velan Capital Master Fund LP | VENKATARAMAN BALAJI | Velan Capital Holdings LLC | Velan Capital Management LLC; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2023-08-15: Reporting owner JOHNSON DAVID EDWARD | Caligan Partners LP; Form 4; Security Series B Preferred; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-08-15 | Morgan Adam | Velan Capital Investment Management LP | Velan Capital SPV I LLC | Velan Capital Master Fund LP | VENKATARAMAN BALAJI | Velan Capital Holdings LLC | Velan Capital Management LLC Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Velan Capital Master Fund LP | C Conversion of derivative security | −8,117 0 owned after | $1.70 exercise price | 2023-08-17 | |
| 2023-08-15 | Morgan Adam | Velan Capital Investment Management LP | Velan Capital SPV I LLC | Velan Capital Master Fund LP | VENKATARAMAN BALAJI | Velan Capital Holdings LLC | Velan Capital Management LLC Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Velan Capital SPV I LLC | C Conversion of derivative security | −7,000 0 owned after | $1.70 exercise price | 2023-08-17 | |
| 2023-08-15 | Morgan Adam | Velan Capital Investment Management LP | Velan Capital SPV I LLC | Velan Capital Master Fund LP | VENKATARAMAN BALAJI | Velan Capital Holdings LLC | Velan Capital Management LLC Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Velan Capital Master Fund LP | C Conversion of derivative security | −6,000 0 owned after | $2.10 exercise price | 2023-08-17 | |
| 2023-08-15 | JOHNSON DAVID EDWARD | Caligan Partners LP 10% Owner | 10% Owner | 4 | Series B Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −2,924,761 0 owned after | $2.10 exercise price | 2023-08-17 | |
| 2023-08-15 | JOHNSON DAVID EDWARD | Caligan Partners LP 10% Owner | 10% Owner | 4 | Series B Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −13,431,616 0 owned after | $1.70 exercise price | 2023-08-17 | |
| 2023-08-11 holding as of filing | Caligan Partners LP | JOHNSON DAVID EDWARD 10% Owner | 10% Owner | 3 | Series B Preferred Derivative · Indirect · See footnote | Holding | $2.10 exercise price | 2023-08-11 | ||
| 2023-08-11 holding as of filing | Caligan Partners LP | JOHNSON DAVID EDWARD 10% Owner | 10% Owner | 3 | Series B Preferred Derivative · Indirect · See footnote | Holding | $1.70 exercise price | 2023-08-11 | ||
| 2023-05-19 holding as of filing | Velan Capital Holdings LLC | Velan Capital Investment Management LP | VENKATARAMAN BALAJI | Velan Capital Management LLC | Velan Capital SPV I LLC | Velan Capital Master Fund LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Velan Capital Master Fund LP | Holding | $2.10 exercise price | 2023-05-19 | ||
| 2023-05-19 holding as of filing | Velan Capital Holdings LLC | Velan Capital Investment Management LP | VENKATARAMAN BALAJI | Velan Capital Management LLC | Velan Capital SPV I LLC | Velan Capital Master Fund LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Velan Capital Master Fund LP | Holding | $1.70 exercise price | 2023-05-19 | ||
| 2023-05-19 holding as of filing | Velan Capital Holdings LLC | Velan Capital Investment Management LP | VENKATARAMAN BALAJI | Velan Capital Management LLC | Velan Capital SPV I LLC | Velan Capital Master Fund LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Velan Capital SPV I LLC | Holding | $1.70 exercise price | 2023-05-19 | ||
| 2023-05-19 holding as of filing | Morgan Adam Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 6,000 owned after | $2.10 exercise price | 2023-05-19 | |
| 2023-05-17 | Morgan Adam Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Velan Capital Master Fund LP | P Open market or private purchase of non-derivative or derivative security | +8,117 8,117 owned after | $1.70 exercise price | 2023-05-19 | |
| 2023-05-17 | Morgan Adam Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Velan Capital SPV I LLC | P Open market or private purchase of non-derivative or derivative security | +7,000 7,000 owned after | $1.70 exercise price | 2023-05-19 | |
| 2023-03-28 holding as of filing | Morgan Adam Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Velan Capital Master Fund LP | Holding | $2.10 exercise price | 2023-03-28 | ||
| 2023-03-28 holding as of filing | Morgan Adam Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Velan Capital Master Fund LP | Holding | 6,000 owned after | $2.10 exercise price | 2023-03-28 | |
| 2023-03-24 | Palo Alto Investors LP 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See note | S Open market or private sale of non-derivative or derivative security | −600,000 0 owned after | $1.56 | 2023-03-28 |