0001104659-24-006027.txt : 20240124
0001104659-24-006027.hdr.sgml : 20240124
20240124060355
ACCESSION NUMBER: 0001104659-24-006027
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240122
FILED AS OF DATE: 20240124
DATE AS OF CHANGE: 20240124
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Nantahala Capital Management, LLC
CENTRAL INDEX KEY: 0001472322
ORGANIZATION NAME:
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35068
FILM NUMBER: 24554149
BUSINESS ADDRESS:
STREET 1: 130 MAIN ST.
STREET 2: 2ND FLOOR
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
BUSINESS PHONE: 203-404-1172
MAIL ADDRESS:
STREET 1: 130 MAIN ST.
STREET 2: 2ND FLOOR
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Harkey Wilmot B.
CENTRAL INDEX KEY: 0001775952
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35068
FILM NUMBER: 24554148
MAIL ADDRESS:
STREET 1: C/O NANTAHALA CAPITAL MANAGEMENT, LLC
STREET 2: 130 MAIN ST. 2ND FLOOR
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mack Daniel
CENTRAL INDEX KEY: 0001775831
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35068
FILM NUMBER: 24554147
MAIL ADDRESS:
STREET 1: C/O NANTAHALA CAPITAL MANAGEMENT, LLC
STREET 2: 130 MAIN ST. 2ND FLOOR
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: TALPHERA, INC.
CENTRAL INDEX KEY: 0001427925
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1850 GATEWAY DRIVE
STREET 2: SUITE 175
CITY: SAN MATEO
STATE: CA
ZIP: 94404
BUSINESS PHONE: 650-216-3500
MAIL ADDRESS:
STREET 1: 1850 GATEWAY DRIVE
STREET 2: SUITE 175
CITY: SAN MATEO
STATE: CA
ZIP: 94404
FORMER COMPANY:
FORMER CONFORMED NAME: ACELRX PHARMACEUTICALS INC
DATE OF NAME CHANGE: 20080222
4
1
tm243862-1_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-01-22
0
0001427925
TALPHERA, INC.
TLPH
0001472322
Nantahala Capital Management, LLC
130 MAIN ST. 2ND FLOOR
NEW CANAAN
CT
06840
0
0
1
1
See remarks
0001775952
Harkey Wilmot B.
C/O NANTAHALA CAPITAL MANAGEMENT, LLC
130 MAIN ST. 2ND FLOOR
NEW CANAAN
CT
06840
0
0
1
0
0001775831
Mack Daniel
C/O NANTAHALA CAPITAL MANAGEMENT, LLC
130 MAIN ST. 2ND FLOOR
NEW CANAAN
CT
06840
0
0
1
0
0
2023 Series A Warrants
1.11
2024-01-22
4
D
0
2205883
D
2023-07-20
2028-07-20
Common Stock
2205883
0
I
See Footnote
2023 Series B Warrants
1.11
2024-01-22
4
D
0
2205883
D
2023-07-20
2028-07-20
Common Stock
2205883
0
I
See Footnote
2023 Series A Warrants
0.77
2024-01-22
4
A
0
2205883
A
2023-07-20
2028-07-20
Common Stock
2205883
2205883
I
See Footnote
2023 Series B Warrants
0.77
2024-01-22
4
A
0
2205883
A
2023-07-20
2028-07-20
Common Stock
2205883
2205883
I
See Footnote
2024 Pre-Funded Warrants
0.001
2024-01-22
4
A
0
6168832
0.769
A
2024-01-24
Common Stock
6168832
6168832
I
See Footnote
On January 24, 2024, as disclosed by Talphera, Inc (the "Issuer") in an 8-K filed with the SEC on the same date, the Issuer amended and restated certain warrants to purchase shares of Issuer common stock ("Common Stock") including those acquired by the NCM Investors (as defined below) on July 20, 2023, reducing the exercise price thereunder to $0.77 per share of Common Stock.
Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein.
These Warrants are exercisable indefinitely.
Mr. Abhinav Jain, an NCM Analyst, is a member of the Issuer's board of directors. On the basis of the relationship among Mr. Jain and each of the Reporting Persons, the Reporting Persons may be deemed directors by deputization with respect to the Issuer for purposes of Section 16 of the Securities Exchange Act of 1934.
/s/ Taki Vasilakis, Chief Compliance Officer of Nantahala Capital Management, LLC
2024-01-22
/s/ Wilmot B. Harkey
2024-01-22
/s/ Daniel Mack
2024-01-22