Form SC 13D/A - General statement of acquisition of beneficial ownership: [Amend]
10 2월 2024 - 6:05AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13D/A
Under
the Securities Exchange Act of 1934
(Amendment
No. _____2___)*
Tracon
Pharmaceuticals, Inc.
(Name
of Issuer)
Common
Stock, par value $0.001 per share
(Title
of Class of Securities)
89237H209
(CUSIP
Number)
James
Silverman, One Boston Place, 26th Floor, Boston, MA 02108
(Name,
Address and Telephone Number of Person
Authorized
to Receive Notices and Communications)
12/31/2023
(Date
of Event which Requires Filing of this Statement)
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐
Rule 13d-1(b)
☒
Rule 13d-1(c)
☐
Rule 13d-1(d)
*
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to
the subject class of securities and for any subsequent amendment containing information that would alter disclosures provided in a prior
cover page.
The
information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18
of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall
be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. 89237H209 | 13D/A | Page 2 of 6 Pages |
| 1. |
NAMES
OF REPORTING PERSONS
Opaleye
Management Inc.
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
20-5648796
|
| 2. |
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)
(a)
☐
(b)
☐ |
| 3. |
SEC
USE ONLY
|
| 4. |
CITIZENSHIP
OR PLACE OF ORGANIZATION
Massachusetts |
| NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5. |
SOLE VOTING
POWER
0 |
| 6. |
0
|
| 7. |
SOLE DISPOSITIVE
POWER
0 |
| 8. |
SHARED DISPOSITIVE
POWER
0 |
| 9. |
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
| 10. |
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see
instructions) ☐
|
| 11. |
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00 |
| 12. |
TYPE
OF REPORTING PERSON (see instructions)
CO |
| CUSIP No. 89237H209 | 13D/A | Page 3 of 6 Pages |
Item
1.
| |
(a) |
Name
of Issuer: Tracon Pharmaceuticals, Inc. (the “Company”). |
| |
|
|
| |
(b) |
Address
of Issuer’s Principal Executive Offices: 4350 La Jolla Village Drive, Suite 800, San Diego, California 92122. |
Item
2.
| |
(a) |
Name
of Person Filing: This statement is filed by the entities and persons listed below, who are
collectively referred to herein as “Reporting Persons” with respect to the shares
of common stock of the Company:
Opaleye
Fund
Opaleye,
L.P. (the “Opaleye Fund”), a private fund formed in the state of Delaware.
Investment
Manager
Opaleye
Management Inc. (the “Investment Manager”), with respect to the shares
of common stock held by the Opaleye Fund, a private fund to which the Investment Manager
serves as investment manager. The Investment Manager also serves as a portfolio manager for
a separate managed account (the “Managed Account”) and may be deemed to
indirectly beneficially own securities owned by the Managed Account. The Investment Manager
disclaims beneficial ownership of the shares held by the Managed Account.
Reporting Individual
Mr.
James Silverman (the “Reporting Individual”), with respect to the shares of common stock held by the Opaleye Fund.
Mr. Silverman is the President of the Investment Manager. |
| |
|
|
| |
(b) |
Address
of the Principal Office or, if none, residence
One
Boston Place, 26th Floor, Boston, MA 02108 |
| |
|
|
| |
(c) |
Citizenship
Citizenship
is set forth in Row 4 of the cover page for each Reporting Person and is incorporated herein
by reference for each such Reporting Person. |
| |
|
|
| |
(d) |
Title
of Class of Securities
Common
Stock, $0.001 par value per share
|
| CUSIP No. 89237H209 | 13D/A | Page 4 of 6 Pages |
Item
3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
| |
(a) |
☐ |
Broker
or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
| |
|
|
|
| |
(b) |
☐ |
Bank
as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
| |
|
|
|
| |
(c) |
☐ |
Insurance
company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
| |
|
|
|
| |
(d) |
☐ |
Investment
company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
| |
|
|
|
| |
(e) |
☐ |
An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
| |
|
|
|
| |
(f) |
☐ |
An
employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
| |
|
|
|
| |
(g) |
☐ |
A
parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); |
| |
|
|
|
| |
(h) |
☐ |
A
savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| |
|
|
|
| |
(i) |
☐ |
A
church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of
1940 (15 U.S.C. 80a-3); |
| |
|
|
|
| |
(j) |
☐ |
Group,
in accordance with §240.13d-1(b)(1)(ii)(J). |
Item
4. Ownership.
Provide
the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| |
(a) |
|
Amount
beneficially owned: 0 |
| |
|
|
|
|
| |
(b) |
|
Percent
of class: 0.00% |
| |
|
|
|
|
| |
(c) |
|
Number
of shares as to which the person has: 0 |
| |
|
|
|
|
| |
|
|
(i) |
Sole
power to vote or to direct the vote 0 |
| |
|
|
|
|
| |
|
|
(ii) |
Shared
power to vote or to direct the vote 0 |
| |
|
|
|
|
| |
|
|
(iii) |
Sole
power to dispose or to direct the disposition of 0 |
| |
|
|
|
|
| |
|
|
(iv) |
Shared
power to dispose or to direct the disposition of 0
|
Instruction.
For computations regarding securities that represent a right to acquire an underlying security, see §240.13d-3(d)(1).
| CUSIP No. 89237H209 | 13D/A | Page 5 of 6 Pages |
Item
5. Ownership of Five Percent or Less of a Class.
If
this statement is being filed to report the fact that as of the date hereof, the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities, check the following ☐
Instruction.
Dissolution of a group requires a response to this item.
Not
applicable
Item
6. Ownership of More than Five Percent on Behalf of Another Person.
Not
applicable
Item
7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
Not
applicable
Item
8. Identification and Classification of Members of the Group.
Not
applicable
Item
9. Notice of Dissolution of Group.
Not
applicable
Item
10. Certification.
| |
(a) |
The
following certification shall be included if the statement is filed pursuant to §240.13d-1(b): |
| |
|
|
| |
|
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held
in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any
transaction having that purpose or effect. |
| |
|
|
| |
(b) |
The
following certification shall be included if the statement is filed pursuant to §240.13d-1(c): |
| |
|
|
| |
|
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are
not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not
acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. |
| CUSIP No. 89237H209 | 13D/A | Page 6 of 6 Pages |
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete
and correct.
02/09/2024
Date |
| |
/s/
James Silverman
Signature
James
Silverman |
Managing
Member of Opaleye GP LLC, the General Partner of Opaleye, L.P.
Name/Title
TRACON Pharmaceuticals (NASDAQ:TCON)
과거 데이터 주식 차트
부터 10월(10) 2024 으로 11월(11) 2024
TRACON Pharmaceuticals (NASDAQ:TCON)
과거 데이터 주식 차트
부터 11월(11) 2023 으로 11월(11) 2024
