FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Puissance Cross-Border Opportunities V LLC
2. Issuer Name and Ticker or Trading Symbol

Tracon Pharmaceuticals, Inc. [ TCON ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

950 THIRD AVENUE, 25TH FL
3. Date of Earliest Transaction (MM/DD/YYYY)

11/29/2018
(Street)

NEW YORK, NY 10022
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

12/3/2018 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   11/29/2018     P    4326   A $1.13   4606094   I   (4) By funds  
Common Stock   11/29/2018     S    4326   D $1.21   4601768   I   (4) By funds  
Common Stock                  4601768   I   (1) By funds  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants (right to buy)   $2.7                    3/27/2018   3/27/2024   Common Stock   4601768     4601768   I   (2) (3) By funds  

Explanation of Responses:
(1)  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.
(2)  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.
(3)  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.
(4)  The purchase and sale of 4,326 shares of Common Stock were under the fund Puissance Life Science Opportunities Fund VI.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Puissance Cross-Border Opportunities V LLC
950 THIRD AVENUE
25TH FL
NEW YORK, NY 10022

X

Puissance Cross-Border Opportunities IV LLC
950 THIRD AVENUE
25TH FL
NEW YORK, NY 10022

X

Puissance Life Science Opportunities Fund VI
950 THIRD AVENUE
FL 25
NEW YORK, NY 10022

X

Puissance Capital Management LP
950 THIRD AVENUE, 25TH FLOOR
NEW YORK, NY 10022

X

Puissance Capital Management (GP) LLC
950 THIRD AVENUE
25TH FLOOR
NEW YORK, NY 10022

X

Puissance Capital Fund (GP) LLC
950 THIRD AVENUE
25TH FLOOR
NEW YORK, NY 10022

X

Wang Theodore T
C/O PUISSANCE CAPITAL MANAGEMENT LP
950 THIRD AVENUE, 25TH FLOOR
NEW YORK, NY 10022
X X


Signatures
Theodore T. Wang 12/3/2018
** Signature of Reporting Person Date

Puissance Cross-Border Opportunities V LLC, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang 12/3/2018
** Signature of Reporting Person Date

Puissance Cross-Border Opportunities IV LLC, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang 12/3/2018
** Signature of Reporting Person Date

Puissance Life Science Opportunities Fund VI, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang 12/3/2018
** Signature of Reporting Person Date

Puissance Capital Fund (GP) LLC, By: Theodore T. Wang, Managing Member 12/3/2018
** Signature of Reporting Person Date

Puissance Capital Management LP, By: Puissance Capital Management (GP) LLC, its general partner, By: Theodore T. Wang, Managing Member 12/3/2018
** Signature of Reporting Person Date

Puissance Capital Management (GP) LLC, By: Theodore Wang, Managing Member 12/3/2018
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
TRACON Pharmaceuticals (NASDAQ:TCON)
Historical Stock Chart
From Mar 2024 to Apr 2024 Click Here for more TRACON Pharmaceuticals Charts.
TRACON Pharmaceuticals (NASDAQ:TCON)
Historical Stock Chart
From Apr 2023 to Apr 2024 Click Here for more TRACON Pharmaceuticals Charts.