TRACON Pharmaceuticals, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows in 2023. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-11-14: Reporting owner Opaleye Management Inc.; Form 4; Security Prefunded Warrants; Transaction Holding.
- 2023-11-14: Reporting owner Opaleye Management Inc.; Form 4; Security Prefunded Warrants; Transaction Holding.
- 2023-11-14: Reporting owner Opaleye Management Inc.; Form 4; Security Prefunded Warrants; Transaction Holding.
- 2023-11-14: Reporting owner Opaleye Management Inc.; Form 4; Security Prefunded Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-11-14 holding as of filing | Opaleye Management Inc. 10% Owner | 4 | Prefunded Warrants Derivative · Indirect · By Opaleye,L.P. | Holding | 1,667,974 owned after | $0.01 exercise price | 2023-11-14 | |
| 2023-11-14 holding as of filing | Opaleye Management Inc. 10% Owner | 4 | Prefunded Warrants Derivative · Indirect · By Opaleye,L.P. | Holding | 1,358,993 owned after | $0.01 exercise price | 2023-11-14 | |
| 2023-11-14 holding as of filing | Opaleye Management Inc. 10% Owner | 4 | Prefunded Warrants Derivative · Indirect · By Opaleye, L.P. | Holding | 2,205,018 owned after | $0.01 exercise price | 2023-11-14 | |
| 2023-11-14 holding as of filing | Opaleye Management Inc. 10% Owner | 4 | Prefunded Warrants Derivative · Indirect · By Opaleye, L.P. | Holding | 2,013,999 owned after | $0.01 exercise price | 2023-11-14 | |
| 2023-03-13 holding as of filing | Opaleye Management Inc. 10% Owner | 4 | Prefunded Warrants Derivative · Indirect · By Opaleye,L.P. | Holding | 1,667,974 owned after | $0.01 exercise price | 2023-03-13 | |
| 2023-03-13 holding as of filing | Opaleye Management Inc. 10% Owner | 4 | Prefunded Warrants Derivative · Indirect · By Opaleye,L.P. | Holding | 1,358,993 owned after | $0.01 exercise price | 2023-03-13 | |
| 2023-03-13 holding as of filing | Opaleye Management Inc. 10% Owner | 4 | Prefunded Warrants Derivative · Indirect · By Opaleye, L.P. | Holding | 2,205,018 owned after | $0.01 exercise price | 2023-03-13 | |
| 2023-03-13 holding as of filing | Opaleye Management Inc. 10% Owner | 4 | Prefunded Warrants Derivative · Indirect · By Opaleye, L.P. | Holding | 2,013,999 owned after | $0.01 exercise price | 2023-03-13 |