ALIMERA SCIENCES, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows, 15 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2024-09-16: Reporting owner Caligan Partners LP | JOHNSON DAVID EDWARD; Form 4; Security Warrants; Transaction J Other acquisition or disposition (describe transaction).
- 2024-09-16: Reporting owner Velan Capital Management LLC | Velan Capital Investment Management LP | Morgan Adam | Velan Capital Holdings LLC | Velan Capital SPV I LLC | Velan Capital Master Fund LP | VENKATARAMAN BALAJI; Form 4; Security Warrants; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-08-11: Reporting owner Caligan Partners LP | JOHNSON DAVID EDWARD; Form 3; Security Warrants; Transaction Holding.
- 2023-05-19: Reporting owner 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; Form 3; Security Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2024-09-16 | Caligan Partners LP | JOHNSON DAVID EDWARD 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | −800,000 0 owned after | $2.10 exercise price | 2024-09-18 | |
| 2024-09-16 | Velan Capital Management LLC | Velan Capital Investment Management LP | Morgan Adam | Velan Capital Holdings LLC | Velan Capital SPV I LLC | Velan Capital Master Fund LP | VENKATARAMAN BALAJI 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −800,000 0 owned after | $2.10 exercise price | 2024-09-16 | |
| 2023-08-11 holding as of filing | Caligan Partners LP | JOHNSON DAVID EDWARD 10% Owner | 10% Owner | 3 | Warrants Derivative · Indirect · See footnote | Holding | $2.10 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 | Warrants Derivative · Indirect · By Velan Capital Master Fund LP | Holding | $2.10 exercise price | 2023-05-19 | ||
| 2023-05-17 | Morgan Adam Director, 10% Owner | 4 | Warrants Derivative · Indirect · By Velan Capital Master Fund LP | J Other acquisition or disposition (describe transaction) | −2,057,143 800,000 owned after | $2.10 exercise price | 2023-05-19 | |
| 2023-03-28 holding as of filing | Morgan Adam Director | 3 | Warrants 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 | Warrants Derivative · Indirect · By Velan Capital Master Fund LP | Holding | 2,857,143 owned after | $2.10 exercise price | 2023-03-28 | |
| 2013-04-08 holding as of filing | Lee Patrick 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · See footnotes | Holding | $44.00 exercise price | 2013-04-08 | ||
| 2012-10-11 holding as of filing | PALO ALTO HEALTHCARE FUND, L.P. | Palo Alto Investors, LLC | PALO ALTO INVESTORS | PALO ALTO HEALTHCARE FUND II L P | PALO ALTO HEALTHCARE MASTER FUND, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Direct · (m) | Holding | $44.00 exercise price | 2012-10-11 | ||
| 2012-10-11 holding as of filing | PALO ALTO HEALTHCARE FUND, L.P. | Palo Alto Investors, LLC | PALO ALTO INVESTORS | PALO ALTO HEALTHCARE FUND II L P | PALO ALTO HEALTHCARE MASTER FUND, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Direct · (m) | Holding | $44.00 exercise price | 2012-10-11 | ||
| 2012-10-11 holding as of filing | PALO ALTO HEALTHCARE FUND, L.P. | Palo Alto Investors, LLC | PALO ALTO INVESTORS | PALO ALTO HEALTHCARE FUND II L P | PALO ALTO HEALTHCARE MASTER FUND, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · (m) | Holding | $44.00 exercise price | 2012-10-11 | ||
| 2012-10-11 holding as of filing | PALO ALTO HEALTHCARE FUND, L.P. | Palo Alto Investors, LLC | PALO ALTO INVESTORS | PALO ALTO HEALTHCARE FUND II L P | PALO ALTO HEALTHCARE MASTER FUND, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · (m) | Holding | $44.00 exercise price | 2012-10-11 | ||
| 2012-10-11 holding as of filing | PALO ALTO HEALTHCARE FUND, L.P. | Palo Alto Investors, LLC | PALO ALTO INVESTORS | PALO ALTO HEALTHCARE FUND II L P | PALO ALTO HEALTHCARE MASTER FUND, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · (m) | Holding | $44.00 exercise price | 2012-10-11 | ||
| 2010-04-21 holding as of filing | Roberts Calvin W. Director | 3 | Warrant Derivative · Direct · (m) | Holding | $1.70 exercise price | 2010-04-21 | ||
| 2010-04-21 holding as of filing | Roberts Calvin W. Director | 3 | Warrant Derivative · Direct · (m) | Holding | $3.40 exercise price | 2010-04-21 |