0001733439-18-000016.txt : 20181203 0001733439-18-000016.hdr.sgml : 20181203 20181203101433 ACCESSION NUMBER: 0001733439-18-000016 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181129 FILED AS OF DATE: 20181203 DATE AS OF CHANGE: 20181203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Puissance Cross-Border Opportunities V LLC CENTRAL INDEX KEY: 0001733439 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36818 FILM NUMBER: 181213058 BUSINESS ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 25TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128783702 MAIL ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 25TH FL CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Puissance Cross-Border Opportunities IV LLC CENTRAL INDEX KEY: 0001718140 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36818 FILM NUMBER: 181213059 BUSINESS ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 25TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128783702 MAIL ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 25TH FL CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Puissance Life Science Opportunities Fund VI CENTRAL INDEX KEY: 0001760460 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36818 FILM NUMBER: 181213060 BUSINESS ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: FL 25 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128783702 MAIL ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: FL 25 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Puissance Capital Management LP CENTRAL INDEX KEY: 0001658437 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36818 FILM NUMBER: 181213061 BUSINESS ADDRESS: STREET 1: 950 THIRD AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-878-3700 MAIL ADDRESS: STREET 1: 950 THIRD AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Puissance Capital Management (GP) LLC CENTRAL INDEX KEY: 0001695339 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36818 FILM NUMBER: 181213062 BUSINESS ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-878-3700 MAIL ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Puissance Capital Fund (GP) LLC CENTRAL INDEX KEY: 0001695347 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36818 FILM NUMBER: 181213063 BUSINESS ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-878-3700 MAIL ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wang Theodore T CENTRAL INDEX KEY: 0001694061 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36818 FILM NUMBER: 181213064 MAIL ADDRESS: STREET 1: C/O PUISSANCE CAPITAL MANAGEMENT LP STREET 2: 950 THIRD AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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: 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 4/A 1 primary_doc.xml PRIMARY DOCUMENT X0306 4/A 2018-11-29 2018-12-03 0 0001394319 Tracon Pharmaceuticals, Inc. TCON 0001733439 Puissance Cross-Border Opportunities V LLC 950 THIRD AVENUE 25TH FL NEW YORK NY 10022 0 0 1 0 0001718140 Puissance Cross-Border Opportunities IV LLC 950 THIRD AVENUE 25TH FL NEW YORK NY 10022 0 0 1 0 0001760460 Puissance Life Science Opportunities Fund VI 950 THIRD AVENUE FL 25 NEW YORK NY 10022 0 0 1 0 0001658437 Puissance Capital Management LP 950 THIRD AVENUE, 25TH FLOOR NEW YORK NY 10022 0 0 1 0 0001695339 Puissance Capital Management (GP) LLC 950 THIRD AVENUE 25TH FLOOR NEW YORK NY 10022 0 0 1 0 0001695347 Puissance Capital Fund (GP) LLC 950 THIRD AVENUE 25TH FLOOR NEW YORK NY 10022 0 0 1 0 0001694061 Wang Theodore T C/O PUISSANCE CAPITAL MANAGEMENT LP 950 THIRD AVENUE, 25TH FLOOR NEW YORK NY 10022 1 0 1 0 Common Stock 2018-11-29 4 P 0 4326 1.13 A 4606094 I By funds Common Stock 2018-11-29 4 S 0 4326 1.21 D 4601768 I By funds Common Stock 4601768 I By funds Warrants (right to buy) 2.7 2018-03-27 2024-03-27 Common Stock 4601768 4601768 I By funds Consists of: 2,831,857 Shares directly owned by Puissance Cross-Border Opportunities V LLC; 1,769,911 Shares directly owned Puissance Cross-Border Opportunities IV LLC. Consists of: 2,831,857 Warrants directly owned by Puissance Cross-Border Opportunities V LLC; 1,769,911 Warrants directly owned Puissance Cross-Border Opportunities IV LLC. Puissance Capital Fund (GP) LLC serves as the managing member of Puissance Cross-Border Opportunities V LLC, Puissance Life Science Opportunities Fund VI and Puissance Cross-Border Opportunities IV LLC and may be deemed to beneficially own these shares. Puissance Capital Management LP serves as the investment manager of Puissance Cross-Border Opportunities V LLC, Puissance Life Science Opportunities Fund VI and Puissance Cross-Border Opportunities IV LLC and may be deemed to beneficially own these shares. Puissance Capital Management (GP) LLC serves as the general partner to Puissance Capital Management LP and may be deemed to beneficially own these shares. Theodore T. Wang serves as the managing member of Puissance Capital Fund (GP) LLC and Puissance Capital Management (GP) LLC and may be deemed to beneficially own these shares. The purchase and sale of 4,326 shares of Common Stock were under the fund Puissance Life Science Opportunities Fund VI. Theodore T. Wang 2018-12-03 Puissance Cross-Border Opportunities V LLC, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang 2018-12-03 Puissance Cross-Border Opportunities IV LLC, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang 2018-12-03 Puissance Life Science Opportunities Fund VI, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang 2018-12-03 Puissance Capital Fund (GP) LLC, By: Theodore T. Wang, Managing Member 2018-12-03 Puissance Capital Management LP, By: Puissance Capital Management (GP) LLC, its general partner, By: Theodore T. Wang, Managing Member 2018-12-03 Puissance Capital Management (GP) LLC, By: Theodore Wang, Managing Member 2018-12-03