0001181431-15-001663.txt : 20150129 0001181431-15-001663.hdr.sgml : 20150129 20150129204708 ACCESSION NUMBER: 0001181431-15-001663 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150129 FILED AS OF DATE: 20150129 DATE AS OF CHANGE: 20150129 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tracon Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001394319 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8910 UNIVERSITY CENTER DRIVE STREET 2: SUITE 700 CITY: San Diego STATE: CA ZIP: 92122 BUSINESS PHONE: 858-550-0780 MAIL ADDRESS: STREET 1: 8910 UNIVERSITY CENTER DRIVE STREET 2: SUITE 700 CITY: San Diego STATE: CA ZIP: 92122 FORMER COMPANY: FORMER CONFORMED NAME: Tracon Pharmaceuticals Inc DATE OF NAME CHANGE: 20070324 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SANDELL SCOTT D CENTRAL INDEX KEY: 0001237289 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36818 FILM NUMBER: 15560596 3 1 rrd421763.xml X0206 3 2015-01-29 0 0001394319 Tracon Pharmaceuticals, Inc. TCON 0001237289 SANDELL SCOTT D 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM MD 21093 0 0 1 0 Series B Redeemable Convertible Preferred Stock Common Stock 1388474 I See Note 3 The shares of Series B Redeemable Convertible Preferred Stock are convertible at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, and have no expiration date. The shares of Series B Redeemable Convertible Preferred Stock are convertible into the number of shares of the Issuer's common stock shown in Column 3 above at a rate of 1 share of common stock for each 3.87 shares of Preferred Stock. The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. /s/ Sasha Keough, attorney-in-fact 2015-01-29