TRACON Pharmaceuticals, Inc. TCON
Trading inactive
| Name of reporting person | Citizenship or organization | Sole voting power | Shared voting power | Sole dispositive power | Shared dispositive power | Amount beneficially owned | Percent of class | Accepted date |
|---|---|---|---|---|---|---|---|---|
| Jonathan I. Cope | United States | 0 | 2369821 | 0 | 2369821 | 2369821 | 8.98 % | 02/06/2023 |
| Lincoln Park Capital Fund, LLC | United States | 0 | 2369821 | 0 | 2369821 | 2369821 | 8.98 % | 02/06/2023 |
| Lincoln Park Capital, LLC | United States | 0 | 2369821 | 0 | 2369821 | 2369821 | 8.98 % | 02/06/2023 |
| Rockledge Capital Corporation | United States | 0 | 2369821 | 0 | 2369821 | 2369821 | 8.98 % | 02/06/2023 |
| Joshua B. Scheinfeld | United States | 0 | 2369821 | 0 | 2369821 | 2369821 | 8.98 % | 02/06/2023 |
| Alex Noah Investors, Inc. | United States | 0 | 2369821 | 0 | 2369821 | 2369821 | 8.98 % | 02/06/2023 |
| Ikarian Capital, LLC | Delaware | 0 | 2162549 | 0 | 2162549 | 2162549 | 16.4 % | 14/09/2020 |
| Ikarian Healthcare Fund GP, L.P. | Delaware | 0 | 1724182 | 0 | 1724182 | 1724182 | 13.1 % | 14/09/2020 |
| Neil Shahrestani | United States of America | 0 | 2162549 | 0 | 2162549 | 2162549 | 16.4 % | 14/09/2020 |
| Chart Westcott | United States | 0 | 2162549 | 0 | 2162549 | 2162549 | 16.4 % | 14/09/2020 |
| Ikarian Healthcare Master Fund, L.P. | Cayman Islands | 0 | 1724182 | 0 | 1724182 | 1724182 | 13.1 % | 14/09/2020 |
| S | Massachusetts | 0 | 1718346 | 0 | 1718346 | 1718346 | 13.03 % | 31/08/2020 |
| Opaleye Management Inc. | Massachusetts | 0 | 1718346 | 0 | 1718346 | 1718346 | 13.03 % | 31/08/2020 |
| S | Massachusetts | 0 | 1718346 | 0 | 1718346 | 1718346 | 13.03 % | 31/08/2020 |
| Theodore Wang | Citizenship or Place of Organization | 0 | 76048 | 0 | 10 | 76048 | 2.42 % | 13/02/2020 |
| Puissance Capital Management (GP) LLC | Citizenship or Place of Organization | 0 | 76048 | 0 | 10 | 76048 | 2.42 % | 13/02/2020 |
| Puissance Cross-Border Opportunities IV LLC | Citizenship or Place of Organization | 0 | 76048 | 0 | 10 | 76048 | 2.42 % | 13/02/2020 |
| Puissance Cross-Border Opportunities V LLC | Citizenship or Place of Organization | 0 | 76048 | 0 | 10 | 76048 | 2.42 % | 13/02/2020 |
| Puissance Capital Management LP | Citizenship or Place of Organization | 0 | 76048 | 0 | 10 | 76048 | 2.42 % | 13/02/2020 |
| Puissance Capital Fund (GP) LLC | Citizenship or Place of Organization | 0 | 76048 | 0 | 10 | 76048 | 2.42 % | 13/02/2020 |
| L.P. | Bermuda | 0 | 2842477 | 0 | 2842477 | 2842477 | 9.9 % | 02/04/2018 |
| Wong | Bermuda | 0 | 2842477 | 0 | 2842477 | 2842477 | 9.9 % | 02/04/2018 |
| LLC | Bermuda | 0 | 2842477 | 0 | 2842477 | 2842477 | 9.9 % | 02/04/2018 |
| LP | Bermuda | 0 | 2842477 | 0 | 2842477 | 2842477 | 9.9 % | 02/04/2018 |
| Laurence W.Lytton | USA | 790481 | 8000 | 790481 | 8000 | 798481 | 4.6 % | 14/02/2018 |
| EIN: 22-1024240 | New Jersey | 0 | 840022 | 0 | 0 | 840022 | 4.8 % | 22/01/2018 |
| EIN: 22-2007137 | New Jersey | 0 | 840022 | 0 | 0 | 840022 | 4.8 % | 22/01/2018 |
| 683 Capital Partners, LP | Delaware | 0 | 895000 | 0 | 895000 | 895000 | 5.4 % | 28/09/2017 |
| 683 Capital Management, LLC | Delaware | 0 | 895000 | 0 | 895000 | 895000 | 5.4 % | 28/09/2017 |
| Ari Zweiman | Delaware | 0 | 895000 | 0 | 895000 | 895000 | 5.4 % | 28/09/2017 |
| Eventide Asset Management, LLC | Delaware | 865526 | 0 | 865526 | 0 | 865526 | 5.5 % | 13/02/2017 |
| Artisan Partners Limited Partnership | Delaware | 4 | 4 | 4 | 4 | 5607450 | 10.11 % | 08/02/2017 |
| EIN: 22-1024240 | New Jersey | 0 | 840022 | 0 | 0 | 840022 | 6.4 % | 31/10/2016 |
| EIN: 22-2007137 | New Jersey | 0 | 840022 | 0 | 0 | 840022 | 6.4 % | 31/10/2016 |
| Laurence W.Lytton | USA | 584016 | 67928 | 584016 | 67928 | 651944 | 5.4 % | 08/01/2016 |
| BARCLAYS GLOBAL INVESTORS, NA. | Switzerland | 875991 | 0 | 875991 | 0 | 3929149 | 2.58 % | 17/02/2015 |
| JAFCO Super V3 Investment Limited | Japan | 1817670 | 0 | 1817670 | 0 | 1817670 | 15 % | 13/02/2015 |
| JAFCO Co., Ltd. | Japan | 1817670 | 0 | 1817670 | 0 | 1817670 | 15 % | 13/02/2015 |
| NEA 14 GP, LTD | Cayman Islands | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| NEA Partners 14, L.P. | Cayman Islands | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| Harry R. Weller | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| Ravi Viswanathan | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| Peter W. Sonsini | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| Scott D. Sandell | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| New Enterprise Associates 14, L.P. | Cayman Islands | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| M. James Barrett | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| Peter J. Barris | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| Ryan D. Drant | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| Anthony A. Florence, Jr. | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| Patrick J. Kerins | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| Krishna S. Kolluri | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| David M. Mott | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |
| Forest Baskett | United States citizen | 0 | 1888474 | 0 | 10 | 1888474 | 15.6 % | 11/02/2015 |