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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

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/11/19  Wang Theodore T                   4                      1:14K  Tracon Pharmaceuticals, Inc.      Puissance Cross-B… V LLC
          Puissance Capital Management (GP) LLC
          Puissance Capital Fund (GP) LLC
          Puissance Capital Management LP
          Puissance Cross-Border Opportunities IV LLC
          Puissance Cross-Border Opportunities V LLC

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

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- primary_doc.xml/3.6


        

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

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2019-12-05 </periodOfReport>
<notSubjectToSection16> 1 </notSubjectToSection16>
<issuer>
<issuerCik> 0001394319 </issuerCik>
<issuerName> Tracon Pharmaceuticals, Inc. </issuerName>
<issuerTradingSymbol> TCON </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001733439 </rptOwnerCik>
<rptOwnerName> Puissance Cross-Border Opportunities V LLC </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 950 THIRD AVENUE </rptOwnerStreet1>
<rptOwnerStreet2> 25TH FL </rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 0 </isOther>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001718140 </rptOwnerCik>
<rptOwnerName> Puissance Cross-Border Opportunities IV LLC </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 950 THIRD AVENUE </rptOwnerStreet1>
<rptOwnerStreet2> 25TH FL </rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 0 </isOther>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001658437 </rptOwnerCik>
<rptOwnerName> Puissance Capital Management LP </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 950 THIRD AVENUE, 25TH FLOOR </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 0 </isOther>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001695347 </rptOwnerCik>
<rptOwnerName> Puissance Capital Fund (GP) LLC </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 950 THIRD AVENUE </rptOwnerStreet1>
<rptOwnerStreet2> 25TH FLOOR </rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 0 </isOther>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001695339 </rptOwnerCik>
<rptOwnerName> Puissance Capital Management (GP) LLC </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 950 THIRD AVENUE </rptOwnerStreet1>
<rptOwnerStreet2> 25TH FLOOR </rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 0 </isOther>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001694061 </rptOwnerCik>
<rptOwnerName> Wang Theodore T </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> C/O PUISSANCE CAPITAL MANAGEMENT LP </rptOwnerStreet1>
<rptOwnerStreet2> 950 THIRD AVENUE, 25TH FLOOR </rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 0 </isOther>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2019-12-05 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 5 </transactionFormType>
<transactionCode> S </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionTimeliness>
<value> E </value>
</transactionTimeliness>
<transactionAmounts>
<transactionShares>
<value> 43996 </value>
<footnoteId id="F1"/>
</transactionShares>
<transactionPricePerShare>
<value> 3.05 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 416182 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
<footnoteId id="F2"/>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> By funds </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2019-12-09 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> S </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionTimeliness>
<value></value>
</transactionTimeliness>
<transactionAmounts>
<transactionShares>
<value> 340134 </value>
<footnoteId id="F3"/>
</transactionShares>
<transactionPricePerShare>
<value> 2.92 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 76048 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
<footnoteId id="F4"/>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> By funds </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeTransaction>
</nonDerivativeTable>
<derivativeTable>
<derivativeHolding>
<securityTitle>
<value> Warrants (right to buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 27 </value>
</conversionOrExercisePrice>
<exerciseDate>
<value> 2018-03-27 </value>
</exerciseDate>
<expirationDate>
<value> 2024-03-27 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 460178 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 460178 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
<footnoteId id="F5"/>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> By funds </value>
</natureOfOwnership>
</ownershipNature>
</derivativeHolding>
</derivativeTable>
<footnotes>
<footnote id="F1"> Puissance Cross-Border Opportunities V LLC made an in-kind distribution of 43,996 shares of common stock. </footnote>
<footnote id="F2"> 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. </footnote>
<footnote id="F3"> 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. </footnote>
<footnote id="F4"> Consists of: 76,048 Shares directly owned by Puissance Cross-Border Opportunities V LLC. </footnote>
<footnote id="F5"> 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. </footnote>
</footnotes>
<ownerSignature>
<signatureName> Theodore T. Wang </signatureName>
<signatureDate> 2019-12-11 </signatureDate>
</ownerSignature>
<ownerSignature>
<signatureName> Puissance Cross-Border Opportunities V LLC, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang </signatureName>
<signatureDate> 2019-12-11 </signatureDate>
</ownerSignature>
<ownerSignature>
<signatureName> Puissance Cross-Border Opportunities IV LLC, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang </signatureName>
<signatureDate> 2019-12-11 </signatureDate>
</ownerSignature>
<ownerSignature>
<signatureName> Puissance Capital Fund (GP) LLC, By: Theodore T. Wang, Managing Member </signatureName>
<signatureDate> 2019-12-11 </signatureDate>
</ownerSignature>
<ownerSignature>
<signatureName> Puissance Capital Management LP, By: Puissance Capital Management (GP) LLC, its general partner, By: Theodore T. Wang, Managing Member </signatureName>
<signatureDate> 2019-12-11 </signatureDate>
</ownerSignature>
<ownerSignature>
<signatureName> Puissance Capital Management (GP) LLC, By: Theodore Wang, Managing Member </signatureName>
<signatureDate> 2019-12-11 </signatureDate>
</ownerSignature>
</ownershipDocument>


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