X0306 4 2018-11-29 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 A 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 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 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