TRACON Pharmaceuticals, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 38 rows, 38 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-02-04: Reporting owner Weller Harry R; Form 4; Security Series B Redeemable Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2015-02-04: Reporting owner Viswanathan Ravi; Form 4; Security Series B Redeemable Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2015-02-04: Reporting owner Sonsini Peter W.; Form 4; Security Series B Redeemable Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2015-02-04: Reporting owner SANDELL SCOTT D; Form 4; Security Series B Redeemable Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-02-04 | Weller Harry R 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | Viswanathan Ravi 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | Sonsini Peter W. 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | SANDELL SCOTT D 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | MOTT DAVID M 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | KERINS PATRICK J 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | Florence Anthony A. Jr. 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | DRANT RYAN D 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | BASKETT FOREST 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | BARRIS PETER J 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | BARRETT M JAMES 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | New Enterprise Associates 14, L.P. | NEA Partners 14, L.P. | NEA 14 GP, LTD 10% Owner | 10% Owner | 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,373,396 0 owned after | no price filed | 2015-02-05 | |
| 2015-02-04 | JAFCO Super V3 Investment Limited Partnership 10% Owner | 4 | Series A Redeemable Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,000,000 0 owned after | $0.00 | 2015-02-05 | |
| 2015-02-04 | JAFCO Super V3 Investment Limited Partnership 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,036,120 0 owned after | $0.00 | 2015-02-05 | |
| 2015-02-04 | CSA Biotechnology Fund II, LLC | BROOKLINE TRACON INVESTMENT FUND LLC | CSA Biotechnology Fund I, llc | Brookline Tracon Investment Fund II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Redeemable Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,610,150 0 owned after | $0.00 | 2015-02-05 | |
| 2015-02-04 | CSA Biotechnology Fund II, LLC | BROOKLINE TRACON INVESTMENT FUND LLC | CSA Biotechnology Fund I, llc | Brookline Tracon Investment Fund II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −934,579 0 owned after | $0.00 | 2015-02-05 | |
| 2015-02-04 | Twiford J Rainer Director | 4 | Series A Redeemable Convertible Preferred Stock Derivative · Indirect · By Brookline Tracon Investment Fund II, LLC | C Conversion of derivative security | −1,610,150 0 owned after | $0.00 | 2015-02-05 | |
| 2015-02-04 | Twiford J Rainer Director | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · By Brookline Tracon Investment Fund II, LLC | C Conversion of derivative security | −934,579 0 owned after | $0.00 | 2015-02-05 | |
| 2015-01-29 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | BASKETT FOREST 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | DRANT RYAN D 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | Florence Anthony A. Jr. 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | MOTT DAVID M 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | SANDELL SCOTT D 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | Sonsini Peter W. 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | Viswanathan Ravi 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | Weller Harry R 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | NEA Partners 14, L.P. | NEA 14 GP, LTD | New Enterprise Associates 14, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | CSA Biotechnology Fund II, LLC | Brookline Tracon Investment Fund II, LLC 10% Owner | 10% Owner | 3 | Series A Redeemable Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | CSA Biotechnology Fund II, LLC | Brookline Tracon Investment Fund II, LLC 10% Owner | 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | JAFCO Super V3 Investment Limited Partnership 10% Owner | 3 | Series A Redeemable Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | JAFCO Super V3 Investment Limited Partnership 10% Owner | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | Twiford J Rainer Director | 3 | Series A Redeemable Convertible Preferred Stock Derivative · Indirect · By Brookline Tracon Investment Fund II, LLC | Holding | no price filed | 2015-01-29 | ||
| 2015-01-29 holding as of filing | Twiford J Rainer Director | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · By Brookline Tracon Investment Fund II, LLC | Holding | no price filed | 2015-01-29 |