SEC Info - Wang Theodore T, et al. - ‘4’ for 12/5/19 re: Tracon Pharmaceuticals, Inc.

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Puissance Cross-Border Opportunities V LLC

(Last)

(First)

(Middle)

950 THIRD AVENUE

25TH FL

(Street)

NEW YORK

10022

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Tracon Pharmaceuticals, Inc. [ TCON ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
12/5/19

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	12/5/19		S	V	43,996 ⁽¹⁾	D	$3.05	416,182	I ⁽²⁾	By funds
Common Stock	12/9/19		S		340,134 ⁽³⁾	D	$2.92	76,048	I ⁽⁴⁾	By funds

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Warrants (right to buy)	$27							3/27/18	3/27/24	Common Stock	460,178		460,178	I ⁽⁵⁾	By funds

1. Name and Address of Reporting Person^*

Puissance Cross-Border Opportunities V LLC

(Last)

(First)

(Middle)

950 THIRD AVENUE

25TH FL

(Street)

NEW YORK

10022

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Puissance Cross-Border Opportunities IV LLC

(Last)

(First)

(Middle)

950 THIRD AVENUE

25TH FL

(Street)

NEW YORK

10022

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Puissance Capital Management LP

(Last)

(First)

(Middle)

950 THIRD AVENUE, 25TH FLOOR

(Street)

NEW YORK

10022

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Puissance Capital Fund (GP) LLC

(Last)

(First)

(Middle)

950 THIRD AVENUE

25TH FLOOR

(Street)

NEW YORK

10022

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Puissance Capital Management (GP) LLC

(Last)

(First)

(Middle)

950 THIRD AVENUE

25TH FLOOR

(Street)

NEW YORK

10022

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Wang Theodore T

(Last)

(First)

(Middle)

C/O PUISSANCE CAPITAL MANAGEMENT LP

950 THIRD AVENUE, 25TH FLOOR

(Street)

NEW YORK

10022

(City)

(State)

(Zip)

Explanation of Responses:

(1) Puissance Cross-Border Opportunities V LLC made an in-kind distribution of 43,996 shares of common stock.

(2) Consists of: 239,190 Shares directly owned by Puissance Cross-Border Opportunities V LLC; 176,992 Shares directly owned Puissance Cross-Border Opportunities IV LLC.

(3) Puissance Cross-Border Opportunities IV LLC made an in-kind distribution of 176,992 shares of common stock. Puissance Cross-Border Opportunities V LLC made an in-kind distribution of 163,142 shares of common stock.

(4) Consists of: 76,048 Shares directly owned by Puissance Cross-Border Opportunities V LLC.

(5) Consists of: 283,186 Warrants directly owned by Puissance Cross-Border Opportunities V LLC; 176,992 Warrants directly owned Puissance Cross-Border Opportunities IV LLC.

	Theodore T. Wang	12/11/19
	Puissance Cross-Border Opportunities V LLC, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang	12/11/19
	Puissance Cross-Border Opportunities IV LLC, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang	12/11/19
	Puissance Capital Fund (GP) LLC, By: Theodore T. Wang, Managing Member	12/11/19
	Puissance Capital Management LP, By: Puissance Capital Management (GP) LLC, its general partner, By: Theodore T. Wang, Managing Member	12/11/19
	Puissance Capital Management (GP) LLC, By: Theodore Wang, Managing Member	12/11/19
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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____________ Transaction Code:
S	Open market or private sale of non-derivative or derivative security.

Wang Theodore T, et al. – ‘4’ for 12/5/19 re: Tracon Pharmaceuticals, Inc.

On: Wednesday, 12/11/19, at 10:47am ET · For: 12/5/19 · Accession #: 1733439-19-1 · File #: 1-36818

Previous ‘4’: ‘4’ on 11/25/19 for 11/21/19 · Next: ‘4’ on 1/21/20 for 1/16/20 · Latest: ‘4’ on 10/16/23 for 10/13/23

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

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Wang Theodore T, et al. – ‘4’ for 12/5/19 re: Tracon Pharmaceuticals, Inc.

On: Wednesday, 12/11/19, at 10:47am ET · For: 12/5/19 · Accession #: 1733439-19-1 · File #: 1-36818

Previous ‘4’: ‘4’ on 11/25/19 for 11/21/19 · Next: ‘4’ on 1/21/20 for 1/16/20 · Latest: ‘4’ on 10/16/23 for 10/13/23

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents