Form D · Biotechnology
Tracon Pharmaceuticals, Inc.
San Diego, CA · CIK 0001394319
Offering snapshot reported Apr 10, 2018 · SEC filing
- Reported sold
- $38.7M Offering amount: $75.7M
- Investors reported
- 11 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Mar 27, 2018 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 10, 2018 | Initial | $38,673,734 | No comparison | 11 | SEC filing |
| May 10, 2017 | Initial | $1,000,000 | No comparison | 1 | SEC filing |
| Apr 1, 2011 | Initial | $16,500,002 | No comparison | 15 | SEC filing |
| Oct 25, 2010 | Amendment | $1,540,000 | $140,000vs Sep 8, 2010 | 10 | SEC filing |
| Sep 8, 2010 | Amendment | $1,400,000 | $650,000vs Mar 19, 2010 | 5 | SEC filing |
| Mar 19, 2010 | Initial | $750,000 | No comparison | 2 | SEC filing |
| Oct 9, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Feb 14, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Mar 22, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1.99M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-309784
"Total Offering Amount" includes amounts receivable by the Issuer upon the exercise of certain warrants to purchase the Issuer's Common Stock (assuming no cashless exercise).
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| LifeSci Capital | 168404 | |
| Angel Pond Capital LLC | 287761 |
Source: Form D, filed Apr 10, 2018. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Bonne Adams | Executive |
| Patricia L. Bitar | Executive |
| John R. Bolton | Director |
| James E. Cantrell | Director |
| William Comer | Director |
| Kenji Harada | Director |
| Timothy M. Hofer | Executive |
| Hironori Hozoji | Director |
| Myoung Ok Kwon | Director |
| William Larue | Director |
| Bryan Leigh | Executive |
| Bertrand C. Liang | Director |
| J. Jay Lobell | Director |
| H Casey Logan | Executive |
| Martin Mattingly | Director |
| Sharon Real | Executive |
| Charles P. Theuer | Director, Executive |
| J. Rainer Twiford | Director |
| Paul Walker | Director |
| Ted Wang | Director |
| Stephen Worland | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
4350 La Jolla Village Drive Suite 800
San Diego, CA, 92122
San Diego, CA, 92122