0001105806-19-000016.txt : 20190426
0001105806-19-000016.hdr.sgml : 20190426
20190425213049
ACCESSION NUMBER: 0001105806-19-000016
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20190426
DATE AS OF CHANGE: 20190425
SUBJECT COMPANY:
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
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-88629
FILM NUMBER: 19769144
BUSINESS ADDRESS:
STREET 1: 4350 LA JOLLA VILLAGE DRIVE
STREET 2: SUITE 800
CITY: San Diego
STATE: CA
ZIP: 92122
BUSINESS PHONE: 858-550-0780
MAIL ADDRESS:
STREET 1: 4350 LA JOLLA VILLAGE DRIVE
STREET 2: SUITE 800
CITY: San Diego
STATE: CA
ZIP: 92122
FORMER COMPANY:
FORMER CONFORMED NAME: Tracon Pharmaceuticals Inc
DATE OF NAME CHANGE: 20070324
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: LYTTON LAURENCE W
CENTRAL INDEX KEY: 0001105806
FILING VALUES:
FORM TYPE: SC 13G/A
MAIL ADDRESS:
STREET 1: 467 CPW
CITY: NY
STATE: NY
ZIP: 10025
SC 13G/A
1
tcon4-19.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment 3)
(Name of Issuer) TRACON Pharmaceuticals, Inc.
(Title of Class of Securities) Common Stock
(CUSIP Number) 89237H100
(Date of Event Which Requires Filing of this Statement) April 25, 2019
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[ ]Rule 13d-1(b)
[ X ]Rule 13d-1(c)
[ ]Rule 13d-1(d)
CUSIP No. 89237H100
1.Names of Reporting Persons.
Laurence W.Lytton
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
USA
5.Sole Voting Power 1,484,928 (1)
6.Shared Voting Power 6,000
7.Sole Dispositive Power 1,484,928 (1)
8.Shared Dispositive Power 6,000
9.Aggregate Amount Beneficially Owned by Each Reporting
Person 1,490,928 (1)
(1)Includes 707,964 shares of Common Stock underlying certain warrants
with an exercise price of $2.70 expiring March 23, 2024.
10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions).................................
11.Percent of Class Represented by Amount in Row (9)
4.99% (2)
(2) Based on 29,898,698 shares utstanding as of April 18, 2019,
as reported in the April 25, 2019 Schedule 14A.
12.Type of Reporting Person (See Instructions)
IN
Item 1.
(a)Name of Issuer TRACON Pharmaceuticals, Inc.
(b)Address of Issuer's Principal Executive Offices
8910 University Center Lane, Suite 700
San Diego, California 92122
Item 2.
(a)Name of Person Filing Laurence W. Lytton
(b)Address of Principal Business Office or, if none, Residence
467 CPW
N.Y., NY 10025
(c)Citizenship USA
(d)Title of Class of Securities Common
(e)CUSIP Number 89237H100
Item 3. not applicable
Item 4.Ownership.
(a)Amount beneficially owned: 1,490,928 shares consisting of
688,964 shares held by the reporting person, 707,964 (1)
warrants held by the reporting person, 88,000 shares held
in the Lytton-Kambara Foundation, and 6,000 shares held in
other related accounts.
(b)Percent of class: 4.99% (2)
(c)Number of shares as to which the person has:
(i)Sole power to vote or to direct the vote 1,484,928 (1).
(ii)Shared power to vote or to direct the vote 6,000.
(iii)Sole power to dispose or to direct the disposition of 1,484,928 (1).
(iv)Shared power to dispose or to direct the disposition of 6,000.
(1)Includes 707,964 shares of Common Stock underlying certain warrants
with an exercise price of $2.70 expiring March 23, 2024.
(2) Based on 29,898,698 shares utstanding as of April 18, 2019,
as reported in the April 25, 2019 Schedule 14A.
Item 5.Ownership of Five Percent or Less of a Class: (X)
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
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.
SIGNATURE
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.
___04/25/19____________________________
Date
____s/ Laurence W. Lytton____________________________
Signature
_____Laurence W. Lytton___________________________
Name/Title